Compliance Officer, EMEA & LatAm Marketing & Distribution

THE COMPANY:

Our client is a global asset management firm, with 30-40 offices worldwide.  They are looking for an Compliance Officer with a focus on Marketing & Distribution.

THE RESPONSIBILITIES:

• Review and approve financial promotions, marketing materials, client reports, RFPs and other client communications
• Provide advice and guidance to client coverage, product and marketing teams on regulatory matters and cross-border distribution rules
• Prepare internal compliance reports for the Board and Committees
• Create new and review existing compliance policies and procedures
• Prepare and deliver compliance training
• Monitor on a regular basis the marketing and distribution activities
• Assist with the annual update of the UCITS KIIDs/KIDs
• Assist with the preparation and filing of regulatory reports
• Participate in business initiatives and regulatory projects as delegated by the manager

EXPERIENCE REQUIRED:

• 5+ years of relevant experience in an asset management compliance role
• Knowledge of the UK and European regulatory framework, in particular the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules
• Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and ELTIF requirements

For further information please contact Duncan Jeffery