Senior Compliance Analyst (Funds and Distribution) - Global Investment Management Firm - Up to £60,000 + Bonus + Benefits - City/London

  • Up to £60,000 + Bonus + Benefits
  • London, England, United Kingdom
  • Permanent, Full time
  • LH Partners
  • 19 Mar 19

Our client is a well-known and well-managed global multi-asset investment management company, with offices in over 20 countries in Europe, the Americas, Asia and the Middle East. Their London operations are now recruiting for a Senior Compliance Analyst for their Funds and Distribution team. The individual will have responsibility for the review of Financial Promotions in the UK across multimedia and will provide a key point of contact between the UK Distribution, Sales and Marketing business lines and UK Compliance.

​​Profile Criteria:

  • Degree educated or possession of a relevant industry qualification
  • At least 2-3 years' relevant experience, preferably gained in the Asset Management sector (or equivalent environment)
  • Candidates should be experienced in reviewing both retail and institutional financial  promotions, across multi products and asset classes
  • Knowledge of FCA COBS Regulations specific to financial promotions.  AIFMD and UCITS cross-border marketing knowledge desirable
  • Ability to effect change and develop relationships across all levels of the organisation

Responsibilities

  • Responsibility for the review of Financial Promotions in the UK across all media and key business contact for all marketing related technical & advisory matters in the UK, to ensure the firm produces clear, balanced, and quality documentation for its clients.
  • Assist in the completion of tasks relating to the UK and Irish Fund ranges, such as the management of breach &  complaints records, review of report and accounts, review of eligible markets etc. 
  • Assist the Senior Manager in all distribution related technical enquiries.  
  • Ensure the business receives updates on relevant regulatory developments and provide regulatory training as required.
  • As required, assist the Global Compliance Team in relevant matters.
  • As required, assist in the review of other documentation such as Distribution Agreements, Prospectus, RFP's etc.
  • The individual will assist in the completion of relevant projects through to implementation.

Education/Qualifications:

  • Degree or relevant industry qualifications 

Experience:

  • At least 2-3 years relevant experience, preferably gained in an asset management or equivalent environment.
  • Experience reviewing both retail and institutional financial promotions, across multi products and asset classes.

Knowledge and Skills:

  • Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing knowledge desirable. 
  • Energetic personality with the drive to effect change and develop relationships across all levels of the organisation

Competencies:

  • Strong written and verbal communication skills
  • Strong analytical skills
  • Able to produce training material which interprets FCA rules into simple English
  • Able to use initiative, work unsupervised and comfortable taking responsibility