Financial Promotions Compliance, Investment Management

Job Description

OverviewThe key purpose of this position is to provide support to the review and approval of financial promotions, provision of advisory support to the Distribution & Marketing teams and oversight of business functions on compliance matters relating to distributionactivities within Europe, the Middle East and Africa (EMEA) and Latin America regions. The role resides within the dedicated Compliance function supporting the centralised distribution and fund management business lines within the BNY Mellon Investment Management organisation which operates through BNY Mellon Investment Management EMEA Limited("IM EMEA") in the UK and its fund management subsidiaries in the UK and Luxembourg. IM EMEA also has representatives conducting distribution activities within Dubai, UAE and Santiago, Chile, a subsidiary company in Switzerland and a representative officein Colombia. Distribution activities within the EU/EEA are conducted through branches of the Luxembourg subsidiary in France (Paris), Germany (Frankfurt), Italy (Milan), the Netherlands (Amsterdam), Spain (Madrid) and Sweden (Stockholm). The IM EMEA Risk & Compliance function is comprised of 12 individuals based within the head office in London and 3 individuals based in Luxembourg. This role may (where possible) involve support to monitoring activities conducted in accordance with BNY Mellonsglobal compliance testing methodology. Key Responsibilities

• To work as part of a team of three individuals dedicated to the review and approval of financial promotions relating to investment capabilities and strategies of the BNY Mellon Investment Management firms and products, both undertakings for collective investmentin transferable securities (UCITS) and Alternative Investment Funds (AIFs) domiciled in the UK, Ireland and Luxembourg.
• Review and approve financial promotions for both retail and professional clients to ensure compliance with the FCA financial promotion rules and the laws and regulations in other jurisdictions, ensuring pro-active management of workflow, co-ordinating effectivelywith other members of the Compliance team and business partners in the Marketing function.
• Provide compliance advisory support in respect of distribution activities within the EMEA and Latin America regions, including provision of timely and accurate compliance advise to business partners on local laws and regulations relating to marketing ofinvestment products and services in each relevant jurisdiction.
• To assist (where possible) the development and execution of a business-wide compliance programme to facilitate monitoring of the adequacy and effectiveness of policies and procedures implemented by the business.
• Provide input (where possible) to the compliance risk assessment (CRA) process to determine the focus of the annual testing programme, including ongoing maintenance of the CRA in response to emerging issues/events, both internal and external.
• Provide input (where possible) to scoping of review themes, identifying and researching relevant laws, regulations and guidance as necessary to gain background knowledge.
• To engage with business initiatives and projects requiring Compliance input and compliance-originated projects related to regulatory developments and/or changes to compliance policies and procedures.

Gov ernance Responsibilities

• Where required, make an active contribution to the corporate governance framework in respect of IM EMEA and its subsidiaries, including management of control documents and logs, preparation of reports to management and governing bodies and collation ofmanagement information on financial promotions compliance.
• To contribute to general compliance duties, including maintenance of the Compliance Manual, compliance policies and procedures and regulatory reporting.

Generic Staff Responsibilities

• Comply with all BNY Mellon corporate policies and procedures, including HR policies and procedures, applicable to BNY Mellon
• Report any potential or actual material regulatory breaches to senior management and the Director of Risk & Compliance immediately upon discovery.
• Participate in centralised initiatives across the BNY Mellon Risk & Compliance organisation, to ensure consistency of approach across business lines and appropriate knowledge-exchange.
• Contribute to the maintenance and testing of an effective business continuity plan to ensure an appropriate response to any disruption to business operations.

Shared Values and Core Competencies BNY Mellon Core Values:

• Client Focus - Putting the client at the centre of all that we do
• Integrity- Acting with the highest ethical standards for our company, our employees and our clients
• Teamwork - Fostering collaboration and diversity to empower employees to build relationships and deliver insights
• Excellence - Setting the standard for leading-edge solutions, innovation and continuous improvement

Core Competencies:

• Global Acumen - Developing and incorporating an understanding of the competitive global business environment as well as an awareness of economic, social and political trends that impact the organizations global strategy
• Establishing Strategic Direction - Establishing and committing to a long-range course of action to accomplish a long-range goal or vision after analyzing factual information and assumptions taking into consideration resources, constraints and organizationalvalues
• Developing Strategic Relationships - Using appropriate interpersonal styles and communication methods to influence, collaborate and build effective relationships with business partners (e.g., peers, functional partners, external vendors and alliance partners)

• Change Leadership - Continuously seeking (or encouraging others to seek) opportunities for different and innovative approaches to addressing organizational problems and opportunities
• Client Orientation - Cultivating strategic client relationships and ensuring that the client perspective is the driving force behind all value-added business activities
• Driving Execution - Translating strategy into operational reality. Breaking down strategic priorities or business initiatives into key tasks and identifying accountabilities. Aligning communication, people, culture, processes, resources and systems to ensureeffective implementation and delivery of required results

Job Specific Competencies

Strong interpersonal and communication skills (oral and written)

Attention to detail and ability to work to tight deadlines <li