Distribution Compliance Analyst (Financial Promotions)

  • Location:

    City of London, London

  • Sector:

    Asset Management, Compliance

  • Job type:

    Permanent

  • Salary:

    £45000 - £50000 per annum

  • Contact:

    Marcus Deeks

  • Job ref:

    MD00096130_1554297853

  • Published:

    about 2 months ago

  • Expiry date:

    2019-05-03

Compliance Distribution Analyst - London - Global Investment Manager

The Role

We are looking for a Compliance Advisory Analyst who will assist the Compliance Manager, Distribution on matters relating to the approval of financial promotions and other marketing material, product distribution regulations and provide consultative advice to the Marketing function. You will also provide technical and advisory support on other relevant EMEA and global regulatory matters, authorisations and permissions related matters.

The role enables Sales and Marketing activities to take place in various global locations. You will approve marketing material to be used by institutional and retail clients. This role is necessary to ensure that AI has world class systems and controls.

Responsibilities

  • Responsible for day-to-day regulatory input on marketing materials in EMEA including reviewing and approving content, helping to oversee the self-certification programme, and provision of MI.
  • Support the Compliance Manager, Distribution on all matters related to distribution and marketing in EMEA.
  • Help advise on European and international marketing cross border rules including product/ passport registrations and private placement.
  • Provide solution focused and business enabling advice and guidance to colleagues, in respect of EU and international marketing regulations.
  • Contribute to Distributor oversight processes.
  • Work closely with other departments responsible for structuring new products and provide support and guidance regarding new product launches and applicable regulations.
  • Write or contribute towards Compliance reports and recommend procedural improvements as appropriate
  • Provide guidance and support regarding the implementation and/or enhancement of procedures and controls as necessary
  • Provide regulatory guidance to Business Development teams
  • Provision of day-to-day compliance advice across Business Development
  • Responsibilities include Luxembourg and Irish UCITS, EU/Non EU AIF, OEIC and NURS and segregated portfolios.
  • Maintain good working relationships with relevant Business Teams, Global Heads of Compliance, Legal, Risk, Senior Compliance & Risk Managers as well as retail Compliance and Legal staff.
  • Retain ongoing knowledge of regulatory changes and standards in respect to Financial Promotions and Distribution standards
  • Provide pro-active consultative guidance and advice relating to regulatory issues regarding marketing and distribution.
  • Advising on European and international marketing cross border rules (registration, private placement and distribution)
  • Provide training to applicable colleagues as and when required relating to ongoing expected standards relating to EMEA distribution, marketing and financial promotions
  • Provide advice and support as required to other relevant EMEA and global regulatory requirements across a wide range of compliance subject matter.
  • The role holder provides support and guidance to various business areas regarding the legal and regulatory requirements of product distribution.

Requirements

Essential

  • Degree or equivalent level of industry and technical experience.
  • Financial promotion compliance experience covering UK or European collective investment schemes acquired ideally in an asset management firm
  • Experience of working to tight deadlines with high level of attention to detail
  • Significant involvement with statutory and regulatory issues affecting regulated business
  • Agility to develop, implement and learn about new systems and ways of working, including internal record keeping and workflow tools and mediums of marketing distribution
  • Expert knowledge of UK and European marketing, distribution and financial promotion rules and advertising standards
  • Overall good understanding of FCA regulations, especially COBS and FUND
  • Knowledge of Compliance leading practice within the asset management industry relating to conduct of business requirements, conduct risks and controls
  • Strong planning, analysis and monitoring skills
  • Strong Microsoft Office Suite skills (Word, Excel, PowerPoint, Outlook)
  • Ability to work under pressure and meet tight deadlines
  • Attention to detail
  • Excellent verbal and written communicator with good skills in developing relationships and working with staff at all levels
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