Distribution Compliance Manager
A leading brand in global asset management requires an experience compliance advisory specialist to join its business. The role sits in the Compliance Advisory team and is aligned to regulatory issues in relation to global distribution of the company's funds, cross border regulatory implications in relation to this as well as sales/marketing regulatory issues.
This role sits in a wider team of 5 specialists, and will join as a Manager in this team by title rather than having management responsibility. The successful candidate will be expected to have oversight of less experienced colleagues and to take a keen interest in their colleagues continued professional development. This company has a very broad product offering, and so experience in a larger asset management house with similar exposure is of particular interest to my client.
The role will represent compliance in distribution matters, including but not limited to the following:
· Product development
· Product distribution activities including cross-border marketing
· Board Depository liaison and reporting
· Regulatory reporting
· Implementation of regulatory change
· Financial promotions
· Distributor on-boarding
· Oversight of Third Party Administrator relationships
· Provision of support and advice to Henderson Operations teams
· Retail Customer Interests initiatives (including TCF)
Candidates will be expected to demonstrate experience across the following areas;
· Systems and Controls rules
· Conflicts
· Financial Promotions and Private Placements
· Inducements and the Retail Distribution review
· Retail product development and TCF
· UCITS and AIFMD
· Cross border distribution
The role offers a very unique opportunity to join not only a very well regarded global business, but also to join a team with a fantastic culture in a role with true development opportunities.
Hays Investment Management Compliance is a dedicated recruitment function, focusing purely on regulatory compliance recruitment within the buy-side of the market, covering Asset Management, Hedge Funds, Private Equity, Wealth Management and Private Banking. We offer a unique insight into the investment compliance market, having developed a specialist network of both clients and candidates within this sector.
For a confidential discussion on this role, other opportunities in the market or a more broad discussion about the market at present please call Stephen Borner at Hays on 02034650110.
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