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Compliance Manager (Investment Management)

Date: 10 Jan 2019
Type: Permanent
Location: London
Salary: £ per annum
Email: duncan@taylorjamesresourcing.com
Ref: db3858

Investment Management Company are looking for a Compliance Manager to support the Sales and Distribution division of their business. You must have experience of Compliance within Sales and Distribution of financial products

Acting as a trusted adviser, primarily to Sales and Product related teams, by providing timely, sound and pragmatic advice and guidance on regulatory matters emanating from regulatory change and business queries/development.

Good knowledge of distribution, marketing and product related regulations, including:-

    • Various selling regulations across jurisdictions – licences, fund registration, private placement, reverse solicitation
    • Fund regulations across various structures– UK, Ireland, Luxembourg
    • FCA/MiFIDI II requirements re product governance, TCF and distributor oversight

Provide Advice/Guidance

Regulatory requirements for selling products/services in new and existing jurisdictions (mainly EMEA) in conjunction with the Irish office.
Distributor take-on and oversight requirements (including target market requirements) in conjunction with the Irish office.
Product governance framework oversight (product approval, on-going reviews etc)
Fund registration, private placement and reverse solicitation considerations
Fund documentation reviews e.g. prospectus / offering documents
Assist the Heads of Compliance and Distribution in Ireland with the implementation and oversight of the distribution oversight and compliance Programmes

Regulatory Developments

Liaise regularly with the Senior Compliance Manager (policy), and the Irish office, on regulatory changes impacting sales and product development activity.

Work proactively with Sales and Product Teams on the implementation of new regulations helping to identify effective solutions that meet both regulatory expectations and business model.

Compliance Policies/Framework

Assist the Senior Compliance Manager (policy) in keeping Sales/Product related Compliance policies and procedures up to date
Produce new and/or amended Sales/Product related Compliance policies and procedures as a result of regulatory or business change.
Input into the Compliance plan as required.
Undertake other Compliance processes as required.
Marketing sign off as required.

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