Compliance Officer Marketing & Distribution
- Recruiter
- Confidential
- Location
- London
- Salary
- Competitive
- Posted
- 18 Sep 2020
- Closes
- 06 Oct 2020
- Sectors
- Marketing, PR & Advertising
- Contract Type
- Contract
- Hours
- Full Time
Our client is an internationally renowned asset and investment management firm. The opportunity has arisen, initially on a contract/consultancy basis, for an experienced Compliance professional with buy-side experience of supporting marketing, distribution & financial promotions to join their growing team. There is a view for the consultant to be offered permanent work after an initial 6-month interim consultancy period.
THE ROLE: Compliance Officer Marketing & Distribution
• Review and provide advice on sales materials, including financial promotions aimed at professional and retail clients
• Provide guidance on regulatory and reputational risk associated with various initiatives
• Participate on working groups with internal stakeholders to support initiatives, including fund launches and associated issues
• Work closely with global colleagues to help develop and ensure consistency of policy approach
• Partner with colleagues within Legal & Compliance on the development and marketing of new products and services
• Advising sales team on cross-border marketing rules and local regulations in EMEA
• Deliver targeted training as needed to internal stakeholders
• Advise on product distribution issues for our retail and institutional client businesses
• Analyze regulatory developments relevant to the asset management business
SKILLS/EXPEIRENCE REQUIRED: Compliance Officer Marketing & Distribution
* 6-8 years of legal and/or regulatory experience in asset management
• Strong knowledge of asset management business and products
• Experience in application of financial promotion requirements
• Strong analytical skills
• Strong written and oral communication skills
• High standard of accuracy and excellent attention to detail
• Ability to prioritize workloads, multi-task and adhere to deadlines
• Excellent organizational and leadership skills
• Collaborative team player; ability to work on team projects and to work autonomously
• Knowledge of cross-border marketing rules in EMEA
Compliance Officer Marketing & Distribution
THE ROLE: Compliance Officer Marketing & Distribution
• Review and provide advice on sales materials, including financial promotions aimed at professional and retail clients
• Provide guidance on regulatory and reputational risk associated with various initiatives
• Participate on working groups with internal stakeholders to support initiatives, including fund launches and associated issues
• Work closely with global colleagues to help develop and ensure consistency of policy approach
• Partner with colleagues within Legal & Compliance on the development and marketing of new products and services
• Advising sales team on cross-border marketing rules and local regulations in EMEA
• Deliver targeted training as needed to internal stakeholders
• Advise on product distribution issues for our retail and institutional client businesses
• Analyze regulatory developments relevant to the asset management business
SKILLS/EXPEIRENCE REQUIRED: Compliance Officer Marketing & Distribution
* 6-8 years of legal and/or regulatory experience in asset management
• Strong knowledge of asset management business and products
• Experience in application of financial promotion requirements
• Strong analytical skills
• Strong written and oral communication skills
• High standard of accuracy and excellent attention to detail
• Ability to prioritize workloads, multi-task and adhere to deadlines
• Excellent organizational and leadership skills
• Collaborative team player; ability to work on team projects and to work autonomously
• Knowledge of cross-border marketing rules in EMEA
Compliance Officer Marketing & Distribution