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Job Overview

Distribution Compliance - Investment Management

Location: London, United Kingdom Salary: Competitive
Type: Permanent Start Date: ASAP
Posted: 5 months ago Contact: Liam O'Mahoney

An excellent opportunity to join a leading Investment Manager in their Compliance Advisory function here in London.  

The primary focus is for this role is supporting the distribution teams compliance needs however it is also varied and braod in nature thus a brilliant career building position.

Responsibilties:

  • Provide day to day Compliance advice and guidance in relation to the business areas supported by the Distribution compliance team.
  • Cross border regulatory change identification and understanding.  Ensuring the business is meeting jurisdictional demands.
  • Review and approve retail advertising, marketing and e-marketing material for use in the UK.
  • Ensure that complaints, breaches, pricing errors and other errors relevant to Distribution areas are appropriately identified, escalated and resolved.
  • Review Distribution policies and procedures to ensure that relevant regulatory requirements are met.

Key Skills:

  • Must have 3+ years experience in a UK asset manager.
  • Compliance and FCA knowledge is key.
  • Understanding of various product offerings and in particular UCITS would add value.
  • Self starter attitude and experience of facing off to senior stakeholders.