Senior Compliance Officer page is loaded
Senior Compliance Officer
Apply locations London time type Full time posted on Posted 18 Days Ago job requisition id JR369
About Jupiter
Jupiter is one of the UK’s leading investment management companies with over 500 employees and £51.3 billion worth of assets under management (as at 30th June 2024).
Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA and APAC.
The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground’s Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office.
We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance.
Background
This is a key role within Compliance, providing support and advice to the Client Group to ensure that all marketing and distribution activities meet regulatory standards. The role will also involve providing compliance approval for marketing materials and supporting regulatory change that impacts distribution and marketing activities.
Key Responsibilities
1. Review advertising and marketing communications for Jupiter’s range of funds ensuring compliance with local regulatory requirements and general Consumer Duty principles. Documentation includes:
1. Marketing and advertising literature targeting both retail and institutional audiences in the UK and multiple overseas jurisdictions.
2. Fund documentation, including prospectuses and Report & Accounts.
3. Social Media Posts
4. Group websites
5. Press releases
2. Provide constructive and accurate feedback following review of documentation ensuring that required amendments are made.
3. Maintain an up-to-date knowledge of relevant regulatory changes and the impact on promotional activity and materials.
4. Maintain and update Compliance-owned guidance and training materials.
5. Provide assistance and mentoring to other members of the Compliance team.
6. Maintain close working relationships with the Client Group and other stakeholders, offering pro-active, accurate and timely advice and support.
7. Investigating acceptable sales and marketing practices in new jurisdictions.
Desired Skills / Experience
1. 5 + years' experience from a similar role in asset management.
2. Knowledge of European and UK fund structures.
3. Knowledge of the UK and European regulatory framework.
4. Understanding of the FCA Handbook and related requirements.
5. Experience of developing constructive relationships.
6. Attention to detail with compliance knowledge.
7. Ability to act diplomatically and use initiative.
8. Solutions-oriented approach to work.
9. Good communication skills.
10. Ability to manage expectations.
11. Self-motivated and able to work without close supervision.
12. Effective time management skills.
Additional Role Details
1. This role is subject to the Conduct Rules set by the FCA.
Don’t meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don’t think your experience aligns perfectly with every listed requirement, we would encourage you to apply.
About Us
Our high-conviction investment approach is fundamental to the way we think, and the way we work. We respect and celebrate different perspectives and experiences. We are agile, brave, and work fast. We take accountability and always look for ways to drive greater value for our clients. At Jupiter, we unlock your potential so our clients can achieve theirs.
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