Senior Compliance Associate
The role:
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 or a similar financial services business.
- Knowledge of European regulators requirements would be advantageous.
- Prior experience of review of marketing material for UCITS Funds and / or alternative funds, ideally including cross border marketing would be desirable although not essential.
The Candidate:
- Candidates will have relevant experience within the Compliance function of a Financial Services business with specific experience liasing with Sales and Marketing teams on the review of 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.
This role is an excellent opportunity for Compliance generalists with experience in the Asset Management sector to use their Financial Promotions Compliance experience within a top tier Asset Management business. Apply today for more information on this unique opportunity.
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