VP Financial Promotions recruitment

Main Responsibilities

To assist on all compliance matters pertinent to the business and particularly the activities of the sales and marketing teams.
To contribute to the design, development and execution of a risk based compliance monitoring approach across the business activities
Contributing to the implementation of the compliance risk assessment and monitoring activity for the activities of the sales and marketing teams.
To take the lead in ensuring that the Company Appoved Persons and TC regime/records are maintained in accordance with regulatory requirements.
To be responsible for the oversight of the sales and distribution activities including the approval of financial promotions.
To keep the Head of Compliance informed at all times of all relevant compliance issues.
To provide compliance training to the business as required.
To engage in project/product development work within the business and provide compliance input
Attend and produce papers for the relevant Senior Management Committees.
Alternate for Head of Compliance as required.
Maintain awareness of regulatory and industry developments.

Essential Requirements

Significant regulatory compliance experience ideally obtained in asset management industry
Technical knowledge of the FSA rules applicable to the business
Proven management skills and ability to lead multi-jurisdictional teams

Proven ability to work as an effective partner with the business while retaining objectivity, independence of thought and decision-making.
Proven experience in investment manager and institutional business compliance
Familiarity with the UK regulatory approach.
Some expereince of collective investment scheme compliance ideally both UCITS and non-UCITS CIS
Some experience of oversight of external suppliers
Good knowledge of the FSA COLL, COBS and TC Sourcebooks (the dealing and managing provisions in particular where the COBS is concerned)
Good interpersonal and communication (oral and written, including report writing) skills
Attention to detail and ability to work to tight deadlines
A team player
Sound knowledge of Word and Excel

Language skills - Spanish and Italian preferable.

Finance Professionals is part of Hydrogen Group.

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