Senior Manager, Marketing Compliance

Royal Bank of Canada ,
London, Greater London
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Overview

Job Description

What is the Opportunity? GAM products and services are a key client offering with high strategic importance and cross-sell opportunities. RBC has identified GAM UK as a strategic business for scalable ongoing growth and investment. GAM UK is focusing its distribution capability into select markets that align with GAM's risk appetite. An effective compliance regime is a critical element of the infrastructure required to support the business strategy. The proper management of regulatory compliance is essential to mitigate or reduce the risk that business activities could be impeded through non-compliance with internal policies or changes in the domestic or international regulatory or legal environment and to help safeguard RBC's reputation. Effective and proactive compliance, undertaken in collaboration with the business, is seen as a key contributor to business results Purpose: * To provide advice and counsel the Marketing department and other areas of the business responsible for investment product and sales communications, along with brand marketing and other communications in EMEA, * Promote and deliver a robust approval process for all GAM marketing materials which ensures compliance with relevant regulations. * Provide guidance and support on cross border marketing initiatives * Responsible for change management and/or process improvement guidance relating to marketing and other communications. * Coordinate global sign off of marketing materials across jurisdictions (Canda, US, EMEA, and APAC) * The successful candidate will have/work towards having a strong working knowledge of global regulatory restrictions What will you do? * Review and approve marketing materials including RFPs, DDQs, and collateral * Provide a contact point for Marketing Compliance matters and day-to-day timely and accurate regulatory advice and support to GAM UK business and support functions as required; * Keep abreast of and updating business stakeholders as required on key regulatory initiatives that impinge on marketing activities; attending working groups, steering groups, and committees where appropriate; * Carry out project work on globalizing the marketing approval process; and * Coordinate global marketing sign-offs with stakeholders in Canada, APAC and the US * Compliance Counsel, Review and Approval - Provide advice and interpretations to the UK business and provide Compliance counsel to the Sales, Marketing and Product Management teams * Oversight, Education and Training - Train, educate and inform staff regarding marketing compliance requirements, including regulatory and industry best practices, and required disclosures * Project/ Relationship / Change Management and Process Improvement - Participate in the business unit and enterprise projects as required What do you need to succeed? Must have: * UK/EU regulatory environment pertaining to asset management firms. * FCA Handbook rules on Financial Promotions. * SEC Rule and Regulations on marketing and adverts. * Asset Management marketing business activities and best practices. * Experience of financial promotions review and approval. * Strong written and verbal communication skills, good attention to detail and an analytical approach to work. * Good research skills. * Enthusiasm and drive in developing compliance advisory skillset and gaining an understanding of the GAM UK businesses. What is in it for you? We thrive on the challenge to be our best, progressive thinking to keep growing and working together to deliver trusted advice to help our clients thrive and communities prosper. We care about each other, reaching our potential, making a difference to our communities, and achieving success that is mutual. JOB SUMMARY City: London Address: Grosvenor Street Work Hours/Week: 35 Work Environment: Office Employment Type: Permanent Career Level: Experienced Hire/Professional Pay Type: Salaried Position Level: PL08 Required Travel (%): 0-25 Exempt/Non-Exempt: N/A People Manager: No Application Deadline: 06/30/2020 Req ID: 252387 Flexible Working Options Considered Employment Type: Full Time

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