THE COMPANY: Our client is a global asset management firm, with 30-40 offices worldwide. They are looking for a Compliance Officer with a focus on Marketing & Distribution.
THE RESPONSIBILITIES:
1. Review and approve financial promotions, marketing materials, client reports, RFPs and other client communications.
2. Provide advice and guidance to client coverage, product and marketing teams on regulatory matters and cross-border distribution rules.
3. Prepare internal compliance reports for the Board and Committees.
4. Create new and review existing compliance policies and procedures.
5. Prepare and deliver compliance training.
6. Monitor on a regular basis the marketing and distribution activities.
7. Assist with the annual update of the UCITS KIIDs/KIDs.
8. Assist with the preparation and filing of regulatory reports.
9. Participate in business initiatives and regulatory projects as delegated by the manager.
EXPERIENCE REQUIRED:
1. 5+ years of relevant experience in an asset management compliance role.
2. Knowledge of the UK and European regulatory framework, in particular the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules.
3. Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and ELTIF requirements.
For further information please contact Duncan Jeffery.
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