The main responsibilities of the role are as follows:

  • Assisting the Distributions teams in respect of the identification of conflicts of interest and to stress test mitigating controls periodically.
  • Provision of timely and accurate advice to the Distribution team as and when required.
  • Provision of periodic training to the Distributions teams on matters such as the prevailing regulatory environment around governance and TCF etc.
  • Contribution to TCF management information and ensuring that all associated risks are managed accordingly.
  • Provision of regulatory technical guidance affecting Distribution which includes AIFMD, MiFIDII and Inducement Guidance
  • Own and enhance the financial promotions approval framework and ensuring that this is appropriate for both professional and retail content as per COBS 4.
  • Act as the Compliance representative for all Distribution and Marketing initiatives.
  • Oversight and approval of KIIDs
  • Support and training for the European, Latin American and Asian Distribution teams.

To be considered for this position the successful candidate should possess an expert knowledge of FCA/CBI/EC/UCITS/SEC/SFC regulations, an industry qualification (preferably IMC) and experience of working within the distribution compliance function of an asset manager.

In exchange for the above my client offers a competitive remuneration package and the opportunity to join an industry leading global organisation.