Compliance Specialist Fund Distribution recruitment
You will assist on all compliance matters in particular the Collective Investment Scheme (CIS) and you will contribute to the design, development and execution of a risk based compliance monitoring approach. You will ensure that the asset management and distribution activities undertaken are in compliance with FSA and other relevant regulations, take the lead in the review of marketing documents ensuring that they satisfy relevant regulatory requirements and implement the periodic compliance monitoring of the sales and marketing functions including leading the scoping and reporting of compliance reviews focused on these activities.
Candidates should be compliance professionals with experience in financial promotions and retail funds compliance, ideally both UCITs and non UCITS CIS, you should also ideally have knowledge of the FSA COLL and COBS sourcebook.
Austin Benn is a professional recruitment consultancy specialising in the placement of sales, marketing and financial markets professionals across the UK.
Austin Benn Consultants Ltd operates as an Employment Agency Employment Business.