Overview
A global asset management firm is seeking a Compliance Manager to join its London office on a 12 month FTC basis.
The the primary purpose of this role is to provide compliance advice, oversight and training in respect ofthe firm’s Investors EMEA and LatAm distribution related activities, both retail and institutional. The main focus of this role will be related to German Speaking jurisdictions in Europe (Germany, Austria and Switzerland).
The role will represent compliance in distribution matters, including but not limited to the following:
- Product distribution activities including advice on cross-border activities in the EMEA and LatAm region
- Distribution Advisory Institutional
- Distributor and distribution channel due diligence
- RFP Interactions
- Customers interests
- Inducements
- Marketing
You must possess a high degree of credibility, be proactive in advising the business on regulatory matters and overseeing business adherence to both the letter and spirit of the applicable rules, regulations and principles.
Key Responsibilities
- Support a Senior Compliance Manager and the Head of Product and Distribution Compliance in ensuring that the distribution business complies with all relevant rules and regulations. Special focus and coverage on German Speaking jurisdictions.
- Assist colleagues in providing cross-functional compliance coverage to ensure continuity of support to business areas.
- Be proactive in ensuring that the business receives relevant training on regulatory issues (including the application of compliance policies) which may have an impact on the business.
- Assist in embedding a culture of effective management of regulatory risk within the business.
- Keep abreast of new regulatory developments and rules, assess their impact on the firm Investors and assist in ensuring appropriate action is taken; special focus and coverage on German Speaking jurisdictions.
- Assist in ensuring that the Distribution business areas champion and embed a culture of treating customers fairly and client centricity in a client-led and client focused business.
- Assist with the review and update of policies and procedures as required in order to meet the needs of Investors distribution teams and continued regulatory compliance.
- Review Financial Promotions to ensure compliance with laws and regulations in the EMEA, USO and LatAm region. Special focus and coverage on German Speaking jurisdictions.
- Carry out additional duties as assigned.
Skills, Knowledge & Experience
- Technical expertise in the key regulatory issues and rule areas impacting distribution, including but not limited to:
- Systems and Controls rules
- Conflicts of Interest
- Financial Promotions and Private Placement rules
- Inducements
- TCF
- UCITS and AIFMD
- Cross border distribution
- SFDR
- Teamwork: the ability to work in multiple teams and leverage internal and external networks.
- Strong communication skills: required to represent compliance to internal and external stakeholders.
- Problem solving: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided.
- Change management: to anticipate regulator changes or business changes having regulatory impact and to communicate issues and remedial plans to the business.
Additional Information & Company Benefits
- Hybrid working and reasonable accommodations
- Generous Holiday policies
- Excellent Health and Wellbeing benefits including corporate membership to ClassPass
- Paid volunteer time to step away from your desk and into the community
- Support to grow through professional development courses, tuition/qualification reimbursement and more
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
- All-inclusive approach to Diversity, Equity and Inclusion
- Maternal/paternal leave benefits and family services
- Complimentary subscription to Headspace – the mindfulness app
- All employee events including networking opportunities and social activities
- Lunch allowance for use within the subsidized onsite canteen
