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This is a core compliance role, with the manager looking for candidates who have previous Asset Management experience who can hit the ground running and enable the business to continue to improve it's compliance culture.
Review of marketing and presentational materials, as produced by the Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials as well as an increasing number of customised materials
Provide training to the Marketing and Sales teams
Support Compliance of the EU branch offices and Swiss offices.
Support the distributor due diligence process, including limited Compliance review of relevant legal agreements
Support the Head of European Compliance through keeping up-to-date with regulatory developments impacting marketing materials, fund distribution, distributor due diligence and cross border fund industry as well as the provision of recommendations for appropriate business procedural amendments when necessary to meet changed regulation
Ideal Qualifications and Experience:
3-5 years' experience in compliance or other relevant function
Educated to degree level or equivalent qualification preferably in related areas such as Compliance, Financial Regulation, Law, Governance.
Professional qualification such as IAQ, IMC, CFRA, or an Investment Compliance diploma advantageous.
Knowledge of FCA rules or equivalent as applicable to asset management and UCITS and AIFMD environments and excellent knowledge of financial promotions and distribution elements.
Knowledge of European regulators requirements would be advantageous
Genuine interest in regulation.
Curiosity about the asset management business and how Compliance can help deliver business goals.