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Investment Management Marketing and Distribution Compliance – Permanent & Contract Needed

£60K - £80K + Generous Bonus & Benefits | West End
Ref: 3622R

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a global investment management firm, is seeking a Compliance Manager to join the team in an interesting and varied role including;

• Review and approval of sales and marketing collateral relating to products domiciled in the UK (OEICs), Ireland (UCITS) and Luxembourg (Private Equity), to ensure compliance with the FCA financial promotions rules and the regulations in other jurisdictions
• Proactive management of the distribution workflow, coordinating with other members of the compliance team, and with marketing and sales teams to manage priorities and improve performance and efficiency
• Analyse regulatory developments and participate in business initiatives and projects requiring compliance input
• Participate in the annual review of the KIIDs
• Create new and review existing policies and procedures, where needed
• Update compliance guidelines to reflect the changing regulatory environment
• Support the RFP and client management teams ensuring the appropriate and timely completion of RFPs and due diligence questionnaires
• Provide guidance to sales and marketing teams on regulatory matters and cross-border distribution rules
• Liaise with the teams in the various regional offices globally, to ensure consistency of approach

You should have 3 to 5 years Compliance experience from within asset management. You should also have experience of regulated funds (OEICs, UCITs, AIFs) and a broad range of products together with knowledge of the FCA handbook, in particular financial promotions. NB this is a permanent role but our client will consider a contractor for three to four months on a pro-rata salary (starting early June).

For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at dcrook@compliancerecruitment.com

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role. 

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

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