Compliance Manager - UK Marketing- 12 month Fixed Term Contract
Schroders Investment Management
May 18, 2018
London, United Kingdom
Overview of role
The vacancy is in the UK Marketing team.
A self-compliance process lives within the UK Marketing team. All materials for an end consumer audience are reviewed by the compliance team with Intermediary and Institutional materials being reviewed by individuals within UK Marketing. The Head of UK Marketing is looking for a 12 month contractor to take the lead on compliance approvals of UK Intermediary and Institutional materials and vendor contracts. The role will also participate in the implementation of GDPR and the design and launch of a presentation system allowing for self compliance at source.
The primary responsibilities of the role are:
Review and approve marketing and e-marketing material (including oversight of Social media activities) for use in the UK, in accordance with FCA rules, guidance and expectations on financial promotions / client communications / social media. Main audiences in the UK will be Intermediary and Institutional in nature. Materials will include but are not limited to:
o A large volume of weekly presentations used in both multiple delegate events and individual sales meetings
o Webpage development
o Sales materials such as sales aids and brochures
o Social media activities
o Supplier contracts with a particular focus on events contracts. This will include trafficking through Legal, reviewing T&Cs and obtaining relevant signatures when needed.
o Review and completion of health and safety questionnaires required by events providers.
Administration – ensure that well-organised files are maintained of review work undertaken to evidence completion of monitoring plan and findings. Assist preparation of compliance papers for various committees and boards in relation to monitoring; oversee maintenance of related department spreadsheets, data and records when needed
Provide marketing training within the UK Marketing team in relation to financial promotions and other client communications when needed
Provide guidance on the development of materials at an early stage
Be the point person for regulatory changes to ensure the appropriate areas with UK marketing are aware
Implement regulatory changes
Assistance in building the processes and data capture to improve the review process of reoccurring contracts
Previous experience within an Asset Management or Financial Services compliance team with demonstrable experience of UK regulated retail financial promotions compliance experience.
Ability to multitask and manage a number of reviews at the same time with an attention to detail every time
Excellent written and oral communication skills, with ability and confidence to interact with and influence senior management
A strong interest and appetite in being up-to-date and assessing industry and regulatory trends specifically, job holder will have awareness of one or more of the following areas:
- Financial Crime
A strong ability to build relationships with key areas of the business including UK discretionary and advisory sales, sales administration, fund managers as well as various product teams.
Proficient in use of Excel, Word, PowerPoint, Outlook and the intranet
Ability to work effectively and collaboratively within a team environment
Some experience in managing and performing audit or compliance monitoring
Internal Number: 3511519
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