Compliance Officer- Financial Promotions
A leading global investment management firm seeks a Compliance Officer at Manager level to focus on Financial Promotions, Marketing Distribution
The Role:
The Marketing and Distribution Compliance team helps to provide compliance advisory services to all aspects of the Marketing and Distribution process within the firm.
* The successful candidate will work with business partners as well as Legal and other support functions in connection with the review and approval of marketing material;
* Due Diligence on Third Party Intermediaries;
* All aspects of compliance policies and procedures for Sales, Marketing and Distribution personnel,
* Compliance advisory and compliance oversight for the Alternative Investments Group,
* Assistance in Regulatory Reform Projects:
* Provide Compliance advice on the new fund launch process
* Provide adhoc and ongoing Compliance training
BASIC QUALIFICATIONS/SKILLS
• 3-4 years compliance experience, preferably in asset management
• Knowledge of UCITS and Non-UCITS fund structures and related asset management distribution processes
• General compliance knowledge and familiarity with UK and European regulation, in particular FCA COBS regulations (COBS 4), UCITS, AIFMD
• Risk and control focused individual with excellent judgment, effective analytical and organizational skills
• Strong verbal and written communication skills
• European languages, in particular Italian, French and/or German, would be a distinctive advantage
• Ability to handle multiple tasks with attention to detail and work under pressure
• Ability to work both independently and as part of a team
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