Compliance Manager
Compliance Manager-Sales and Distribution
A prestigious global leading investment company, with wide presence across the UK, has a fantastic opportunity for a Compliance Manager. Based in their London office in the City.
Within the Retail Distribution side of this vast investment company, you will play a pivotal role in compliance matters. This exciting position takes the lead on Sales and Distribution compliance, including reviews, monitoring and co-ordination of financial promotions within the UK, Continental Europe and Latin America.
This role is working independently, although on occasion you will assist the Senior compliance Manager and report in to them.
Your Responsibilities will include;
· Leading the co-ordination of Compliance review of sales and marketing collateral executed by AMI in respect of collective investment schemes managed in UK, Ireland, Luxembourg and Cayman
· Manage day-to-day compliance workflow relating to sales and marketing
· Review of sales and marketing collateral for both professional and retail client audience, either as initial or second reviewer to ensure compliance with FCA financial promotions rules and equivalent regulations in other markets within the EMEA region
· The design, development and execution of the risk-based compliance monitoring programme, primarily in respect of AMI’s activities and of implementation of associated compliance policies and procedures
· Assist the Senior Compliance Manager in managing relationships stakeholders within the AMI sales and marketing teams
· Provide support to the Senior Compliance Manager on key compliance projects.
· Manage relationship with local country office to provide compliance support, including regular liaison meetings with the country head and staff in the offices, internal and external legal counsel and review of correspondence and publications from the local competent authority.
· Alternate for the Senior Compliance Manager as required, in particular in providing compliance representation at meetings, day-to-day decision-making and escalation of issues to the Head of Compliance.
Ideally you will be degree educated, have a strong understanding of UK regulatory framework relating to Sales and Distribution and retail funds, ideally both UCITS and non-UCITS CIS. Good knowledge of the FSA COLL and COBS Sourcebook. Experience of building and maintaining Stakeholder relationships. This unique position also offers regular travel.
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