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Job Specification

Head Of Distribution Compliance  – Retail Asset Management Experience Required

£130K - £150K + Bonus + Bens | London
Ref: 3378G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

Our client, a reputable global asset management house, is looking to hire an exceptional Head of Distribution Compliance.  Primarily responsible for managing the UK & European distribution compliance teams, duties will include:
• Manage the Distribution Compliance function ensuring that the distribution business complies with all relevant rules and regulations.  
• Keep abreast of new regulatory developments and rules, assess their impact on the business and assist in ensuring appropriate action is taken; in particular developments relating to:
o PRIIP’s & KID’s
o Financial Promotions & Cross Border Distribution
o AIFMD (marketing & disclosure aspects).
• Ensure a high-quality standard of product materials are delivered in accordance to the delivery requirements of internal and regulatory distribution requirements - materials include: key features documents, bespoke presentations, sales aids, fact sheets, product web pages, and promotional content for product campaigns and webcasts.
• Ensure that Compliance policies and procedures are updated to meet the needs of the distribution teams as and when regulatory changes arise.
• Support and provide advice to global compliance teams on distribution and product matters.
• Project manage the compliance related aspects of product launches and product corporate actions requirements in conjunction with the Product team.
• Advise Sales & Marketing on all product related compliance matters and provide regular feedback on requirements to the broader Marketing Leadership team.
• Maintain a high level of compliance knowledge related to European markets and adhere to the appropriate financial promotions procedures.
The successful candidate will have gained a significant number of years experience with a detailed knowledge of the full spectrum of asset management products. While you must be familiar with existing FSA & European regulatory issues including PRIIP’s & KID’s requirements as important will be your thorough understanding of the sales & marketing distribution channels and platforms and the necessary procedures and controls required to ensure all regulatory requirements are met and adhered too.
This is an exceptional opportunity for a senior compliance distribution specialist to join a truly global and reputable asset management business that has a very stable and successful history. It goes without saying that such a role requires not only thought leadership on regulatory developments but the ability to influence your colleagues and senior management as well as to develop relationships with external industry peers and regulators.
Should you feel you have the experience and above average communication and technical skills to be success in this role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to
Symes Collins – Part of the Compliance Recruitment Solutions Group

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