Compliance Officer Roles – Top Tier Asset Manager
The Client:
One of the largest and most established asset management firms in the world, serving individual and institutional investors across the globe.
The Roles;
Compliance Associate (Compliance Monitoring): Up to £40,000 p.a.
The main focus of the role is to assist the existing team in providing compliance support to the European Distribution, and European fund structures.
The main responsibilities will be for ensuring that the assigned monitoring activities, marketing review activities and information analysis activities are performed on a timely basis and for maintaining quality of own delivery as well as assisting with other Compliance related activities of the department as required.
Essential Experience:
- Previous experience of working within a compliance department / compliance monitoring role OR Audit background OR relevant operational background required
- Strong preference for good basic knowledge of asset management and the industry
- Previous compliance experience preferred
- At least one relevant additional modern European language (French /German /Italian /Spanish).
Compliance Officer (Financial Promotions): Up to £70,000 p.a.
The role will be focussed on the review of marketing and presentational materials, as produced by the Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials as well as an increasing number of customised materials
Additional Responsibilities include:
- To build a relationship with the Marketing and Sales teams to help with queries and issues raised.
- Provide training to the Marketing and Sales teams Support Compliance of the European branch offices and representative office Support the distributor due diligence process, including limited compliance review of relevant legal agreements.
- Support the Compliance Director through keeping up-to-date with regulatory developments impacting marketing materials, fund distribution and cross border fund industry as well as the provision of recommendations for appropriate business procedural amendments when necessary to meet changed regulations
Essential Experience:
- Excellent knowledge of FSA rules or equivalent as applicable to asset management and UCITS environments.
- Knowledge of European regulators requirements would be advantageous.
- Good understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled Funds
- Prior experience of review of marketing material for UCITS Funds and / or alternative funds, ideally including cross border marketing.
- At least one relevant additional modern European language (French /German /Italian /Spanish)
The Candidate:
- Candidates for both roles will have relevant experience within the Compliance function of an Asset Management business with specific experience in either / both Compliance Monitoring or Financial Promotions.
- Excellent interpersonal skills, attention to detail and a confident communicator
- Ability to work in a dynamic fast paced environment within a fun and sociable team
- Business level fluency in either French, Spanish, Italian or German.
This role is an excellent opportunity for Compliance generalists with experience in either monitoring or FIN PROM to hone in their experience within a focussed team whose strength is based on the people within and their exchange of ideas. It is also a rare opportunity for candidates who speak the required langauges to be able ti use their language skills on a daily basis. Apply today for more information on these unique opportunities.
Please specify on your application your langauge skills and which role you are applying for.
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