Investor Solutions Compliance Advisory
Our Client is a top tier global investment bank looking for an Investor Solutions advisory specialist to join the existing team. The role is ideal for someone looking to broaden their skillset from a larger bank and develop their career in a busy department.
Duties will include:
* Establishment and ongoing development of the Global Retail Distribution Framework across asset class, including but not limited to:
- Drafting, issuing and updating the Global Retail Distributor Policy and related Guidelines
- Coordinating development of and implementing the distributor workflow tool - The Introducer and Distributor System (IDS)
- Coordinating development of and implementing the Product Matrix
- Implementing policy/procedure for the Tiering of Distributors
- Implementing policy/procedure for proprietary indices
- Grandfathering legacy distributors in accordance with policy and procedure
- Enhancing the TCF regime within policy and procedure
- Implementing monitoring to ensure compliance with policy and procedure
* Advising on the on-boarding of third party distributors of structured products to retail clients, including but not limited to:
- Gathering background information on potential/existing distributors in order to conduct due diligence
- Arranging and conducting Compliance due diligence calls in accordance with policy and procedure
- Collating and reviewing the findings of external due diligence reports (Red Flag) on distributors
- Assisting in the preparation and participation in the Distributor Committee
* Coordinating the rollout of the Introducer framework, including but not limited to:
- Drafting, issuing and updating The Global Introducer Policy
- Coordinating development of and implementing the introducer workflow tool - The Introducer and Distributor System (IDS)
- Performing due diligence on potential introducers in accordance with policy and procedure
- Assisting in the preparation and participation on the Introducer Committee
* Reviewing and advising on product approvals including appropriateness and categorization of products in line with the Product Matrix
* Providing reactive and proactive advise to Investor Solutions Sales
* Review of marketing materials, including but not limited to:
- Drafting policy and procedure on marketing materials
- Review of internally produced and sometimes third party produced marketing materials
- Review of Risk Factors and Disclaimers
* Collation and issuance of monthly Retail Distribution MI
* Training, including but not limited to:
- Proactively promoting awareness of the retail distribution framework by providing face- to-face training to relevant businesses at the launch of the revised framework
- Development and launch of L@B based presentation for the wider Distribution Sales force at the launch of the revised framework
- Development and launch of E-Learning training as part of the new joiner curriculum
- Ongoing refresher training (e.g. face-to-face, email blasts) on the retail distribution framework and general Compliance topics
- Drafting of user guide for stakeholders on IDS
* Keeping the Sales force informed of regulatory developments including but not limited to:
- Participating in Group led and external forums
- Summarizing Consultation Papers, Discussion Papers or otherwise (e.g. MiFID, PRIPS, DP Product Intervention, FSA Retail Conduct Risk Outlook)
Self-motivation, confidence, an out-going and enthusiastic nature, tenacity, diplomacy and a good sense of humour. The successful candidate will have a fixed income background with proven experience in a similar role
If you are interested in finding out more about this role. Please contact Richard Aldridge on 02033015822 by phone or richard.aldridge@blackswangroup.com
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