COMPLIANCE ASSOCIATE DIRECTOR - GLOBAL INVESTMENT MANAGER - London, United Kingdom,
A leading multi-asset investment manager with a renowned global presence is looking for a new member to join their Compliance team. This is an exciting opportunity to play an integral role in supporting the organisation's sales- and product-related teams.
Responsibilities will primarily be directed towards the Sales and Product related teams and will include:
- Providing advice and guidance on regulatory requirements for selling products/services in new and existing jurisdictions;
- Liaising regularly with the Senior Compliance Manager, Head of Compliance and Head of Distribution;
- Working proactively with the Sales and Product Teams on the implementation of new regulations;
- Liaising with industry trade bodies, consultants and external auditors as required.
Strong knowledge of distribution, marketing and product related regulations is essential and should include experience with:
- Various selling regulations across jurisdictions;
- Fund regulations across various structures, ideally including UK, Ireland and/or Luxembourg;
- FCA/MiFIDI II requirements regarding product governance, TCF and distributor oversight.
This role would be ideal for an engaging, ambitious individual who is seeking the next challenge in their career.