Regulatory Analyst

Aegon ,
Edinburgh, City of Edinburgh
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Overview

Job Description

Summary To provide distribution and financial promotion approvals, advice and training to ensure promotions sent out comply with legal and regulatory requirements, as well as to deliver other regulatory BAU tasks and assist in identifying and advising on regulatory matters.Job Description Overall To provide distribution and financial promotion advice and training to ensure promotions sent out comply with legal and regulatory requirements, as well as to assist on identifying regulatory change and advising on regulatory matters and other team BAU activities. Distribution and financial promotions * Provide timely and constructive feedback and sign-off of financial promotions. * Flag to stakeholders relevant regulatory developments related to distribution and financial promotions and follow these up where required. * Develop and maintain regulatory procedures related to distribution, financial promotions and oversight, where applicable. * Train stakeholders on framework for distribution and marketing compliance. * Participate as the regulatory representative in relevant committees on distribution and marketing compliance. * Produce accurate and timely management information. Regulatory activities * Together with a senior team member, provide support and guidance on rule developments and interpretations to members of the Legal and Regulatory teams, Regulatory & Operational Risk and the business. * Prepare and submit responses to the FCA and trade bodies where appropriate. * Conduct statutory and regulatory notification and reporting, where applicable. * Complete other BAU tasks within the team's workload. Communications and team-working * Display clear and effective oral and written communication with internal customers, regulatory bodies and other stakeholders. * Demonstrate effective influencing, negotiations and team-spirit in the maintenance of an effective compliance culture. * Share knowledge and information and seek contribution from others. Relationship management * Build good working relationships with other team members. * Willingness to learn from the team to ensure good transfer of knowledge. * Build and maintain relationships with internal stakeholders, most notably the commercial domain and compliance, without compromising Aegon Asset Management's compliance with rules and regulations. * Attend and participate in team and individual briefings / meetings. Organisation experience and personal development * Prioritise own workload to meet deadlines. * Promote and continually maintain a culture of knowledge and adherence to regulatory principles and rules. * Willingness to work on a cross-border basis, as some team members and stakeholders are not based in the UK. Responsible for compliance with regulatory and legislative regime as it impacts your role and for ensuring that risks are identified, reported and managed accordingly. Ensure Aegon Asset Management consistently applies regulatory rules and principles including Treating Customers Fairly, demonstrating with words and actions that the client perspective is always considered in decision making. In addition to the duties and responsibilities listed, the job holder may from time to time be required to perform other duties assigned by his / her manager so long as the duties are within the scope and ability of the job holder. Additional Job Description Equal Opportunity Employer: We are an equal opportunities employer and welcome applications from all suitably qualified persons regardless of their race, sex, disability, religion/belief, sexual orientation or age

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