This is a key role within Compliance of an asset management firm, providing support and advice to the Client Group to ensure that all marketing and distribution activities meet regulatory standards. The role will also involve providing compliance approval for marketing materials and supporting regulatory change that impacts distribution and marketing activities.
Candidates will have at least five years’ experience from a similar role in asset management and knowledge of European and UK fund structures (UCITS, AIFs etc)
They will also have knowledge of the UK and European regulatory framework, in particular the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules. Knowledge of US marketing rules would be beneficial.
Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and SFDR requirements are also needed.
Key Responsibilities
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- Review advertising and marketing communications for the firm’s range of funds (including UTs, SICAVs, Irish ICVCs and Investment Trusts, and segregated mandates) ensuring compliance with local regulatory requirements and general Consumer Duty principles. Documentation includes:
- Marketing and advertising literature (adverts, factsheets, sales aids, brochures, presentations) targeting both retail and institutional audiences in the UK and multiple overseas jurisdictions including UK EMEA, Latam, Australia and US.
- Fund documentation, including prospectuses, KIIDs and Report & Accounts
- Social Media Posts
- Group websites
- Press releases
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- Provide constructive and accurate feedback following review of documentation ensuring that required amendments are made.
- Maintain an up-to-date knowledge of relevant regulatory changes and the impact these may have on promotional activity and materials and support the business implementation of such changes.
- Maintain and update Compliance-owned guidance and training materials. Review or provide input into business-owned procedures and processes.
- Provide assistance and mentoring to other members of the Compliance team.
- Maintain close working relationships with the Client Group and other stakeholders, offering pro-active, accurate and timely advice and support.
- Investigating acceptable sales and marketing practices in new jurisdictions.
