2 дня назад
Compliance Officer, Marketing and Distribution Compliance
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Compliance Officer, Marketing and Distribution Compliance (Financial Services): Reviewing financial promotions and advising on marketing and distribution requirements for public and private investment products across EMEA and LatAm with an accent on FCA, Consumer Duty, MiFID II, UCITS, and AIFMD compliance. Focus on developing compliance frameworks, monitoring emerging risks, supporting regulatory change, and delivering oversight across cross-border distribution activities.
Location: London, United Kingdom; hybrid work. Applicants must already have the right to work in the United Kingdom without current or future sponsorship.
Company
is a private, independent, employee-owned investment manager offering equity, fixed income, private equity, and hedge fund strategies to institutional, intermediary, and individual investors worldwide.
What you will do
- Review and approve marketing communications for institutional, intermediary, and retail audiences.
- Provide risk-based advice on cross-border marketing and distribution requirements across EMEA and LatAm.
- Support product launches, distribution initiatives, RFPs, and due diligence questionnaires.
- Develop and enhance compliance frameworks, policies, and controls.
- Monitor marketing and distribution activities, identify emerging risks, and prepare Consumer Duty management information reports.
- Deliver training and support regulatory change initiatives affecting marketing and distribution.
Requirements
- Bachelor’s degree or equivalent in Law, Business, Finance, Economics, or a related discipline.
- At least 5 years of experience in financial promotions, marketing review, and distribution compliance within asset, wealth, or investment management.
- Strong knowledge of FCA financial promotions requirements, Consumer Duty, Consumer Composite Investments, MiFID II, UCITS, AIFMD, and relevant ESMA guidelines.
- Knowledge of cross-border marketing and distribution regulations across EMEA and LatAm, including local marketing restrictions and investor categorisation requirements.
- Understanding of UCITS and alternative investment fund structures, including LTAFs, ELTIFs, and QIAIFs, as well as private markets products.
- Experience working with Marketing, Sales, Product Development, Investment, Legal, and Compliance teams in a fast-paced environment.
Culture & Benefits
- Employee-owned and independent investment management structure.
- Collaboration across a global organization with offices in 40 cities.
- Performance alignment through deferred compensation linked to team and firm strategies.
- Equal opportunity workplace with a focus on diverse and inclusive employment practices.
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