Review and approval of sales and marketing collateral relating to products domiciled in the UK (OEICs), Ireland (UCITS) and Luxembourg (Private Equity), to ensure compliance with the FCA financial promotions rules and the regulations in other jurisdictions
Proactive management of the distribution workflow, coordinating with other members of the compliance team, and with marketing and sales teams to manage priorities and improve performance and efficiency
Analyse regulatory developments and participate in business initiatives and projects requiring compliance input
Participate in the annual review of the KIIDs
Create new and review existing policies and procedures, where needed
Update compliance guidelines to reflect the changing regulatory environment
Support the RFP and client management teams ensuring the appropriate and timely completion of RFPs and due diligence questionnaires
Provide guidance to sales and marketing teams on regulatory matters and cross-border distribution rules
Liaise with the teams in the various regional offices globally, to ensure consistency of approach You should have 3 to 5 years Compliance experience from within asset management. You should also have experience of regulated funds (OEICs, UCITs, AIFs) and a broad range of products together with knowledge of the FCA handbook, in particular financial promotions. NB this is a permanent role but our client will consider a contractor for three to four months on a pro-rata salary (starting early June).
For further information or a confidential no obligation discussion, please feel free to call David Crook on 020 7330 6963 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge
Internal Number: 5821560
About Compliance Recruitment Solutions
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