Compliance Analyst recruitment
Main Responsibilities
Contribute on all compliance matters pertinent to the Asset Management International and the CIS Management Companies and particularly those matters focused on sales and marketing activities.
Contribute to the design, development and execution of a risk based compliance monitoring approach across the International business. Sharing responsibility with the Sales and Distribution Team for: - implementation of the compliance monitoring oversight programme,sales and marketing activities of the business.Actively support the review of financial promotions. Liaise with European Offices on the sales and marketing activities
- Ensure that the asset management and distribution activities are in compliance with FSA
- Implement (and revise if necessary) the existing compliance monitoring oversight programme covering the sales and marketing activities.
- Support the Senior Compliance Manager and the Sales and Distribution Team in the review and approval of marketing documents ensuring that they satisfy relevant regulatory requirements.
- Review in local language the sales and marketing material that is produced by the European Offices.
Keep the Senior Compliance Manager Sales and Distribution informed at all times of all relevant compliance issues.
- To provide compliance trainings and to engage in ad-hoc project/product development work within the business and provide compliance input as required.
Essential Requirements
- Language skills essential - preferable Spanish/French and/or Italian. Experience in compliance position, ideally with experience of UCITS and non-UCITS CIS and a background in asset management sales/marketing compliance. Good knowledge of the FSA COBS Sourcebook. Good interpersonal and communication (oral and written, including report writing) skills. Attention to detail and ability to work to tight deadlines. A team player. Sound knowledge of Word and Excel.
Finance Professionals is part of Hydrogen Group.
