Marketing and Distribution Compliance Officer

Our Client, a Globally Significant Private Markets firm, is looking for a Compliance Officer to join the EMEA Marketing and Distribution Compliance Team, acting as No.2 to the Head of the team.

The focus of this role is on financial promotions and cross-border distribution, but it also includes working on other areas of UK, Switzerland, EU, and MEA regulations. It requires a close partnership with other functions within the organisation including legal, product development, client coverage and marketing teams, as well as frequent co-operation with internal stakeholders and compliance teams across various jurisdictions.

Key Responsibilities:

1. Review and approve financial promotions, marketing materials, client reports, RFPs and other client communications
2. Provide advice and guidance to client coverage, product and marketing teams on regulatory matters and cross-border distribution rules
3. Prepare internal compliance reports for the Board and Committees
4. Create new and review existing compliance policies and procedures

Key Requirements:

1. 5+ years of relevant experience in an asset management compliance role
2. 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
3. Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and ELTIF requirements.

If this role sounds of interest please apply.