Overview
A top international investment management firm is seeking a Senior Compliance Analyst to join its London office.
The primary purpose of this role is to provide compliance advice, oversight and training in respect of EMEA distribution related activities, both retail and institutional. You will represent compliance in distribution matters, including but not limited to the following:
- Provide Compliance advice and oversight in ensuring the distribution business complies with all relevant rules and regulations.
- Review Financial Promotions, including ESG related regulatory material and disclosures such as websites and periodic reports.
- Provide advice and oversight on MiFID II inducements, including approval of regional events.
- Provide Compliance advice and oversight in relation to relevant ESG requirements, for example SFDR, EU Taxonomy, TCFD, SDR.
- 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 and assist in ensuring appropriate action is taken.
- Assist in ensuring that the Distribution business areas champion and embed a culture of treating customers fairly and client centricity, with a focus on Consumer Duty, in a client-led and client focused business.
- Assist with the review and update of policies and procedures as required to meet the needs of distribution teams and continued regulatory compliance.
- Involvement with Compliance and business projects and initiatives as required.
- Carry out additional duties as assigned.
Skills, Knowledge & Experience
- Pro-active and self-sufficient with ability to escalate where appropriate. Highly self-motivated, possessing strong written and verbal communication skills, with the ability to communicate effectively at all levels, influence and build relationships, and manage client expectations and competing priorities.
- Teamwork: the ability to work in multiple teams and leverage internal and external networks.
- Strong analytical skills: ensuring complex regulation and its impact are communicated effectively ensuring practical and efficient advice if provided.
- Good planning, prioritization, problem solving, and organizational skills are essential. Attention to detail and ability to exercise balanced judgment and decision making.
- Experience and technical knowledge across a range of product and fund types.
Technical expertise in the key regulatory issues and rule areas impacting company distribution, including:
- Cross border distribution and private placement rules
- Financial Promotions in EMEA, Latin America and US Offshore
- ESG Regulation – SFDR, SDR, TCFD
- Conflicts of Interest
- MiFID II, Inducements
- UCITS and AIFMD
- Consumer Duty and TCF
Desirable
Technical expertise in the key regulatory issues and rule areas impacting company distribution, including:
- KIID and PRIIPS KID Regulation
- Product Governance and Product Development
- Italian speaking
Additional Information
- 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
- 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
- Potential for growth
- Mentoring
- Leadership development programs
- Regular training
- Career development services
- Continuing education courses
