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Compliance Analyst (Marketing / Distribution)

Information About This Job

Job Title: Compliance Analyst (Marketing / Distribution)
Contract Type: Permanent
Location: London
Contact Name: Mark Foy
Contact Email:
Job Published: almost 2 years ago

Job Description

Our client, a top asset management firm based in London is seeking to appoint a Compliance Analyst (marketing / Distribution)


About The Company

Our client is one of the world's largest independent investment management firms. Managing over $1 trillion of client assets that serve as a trusted adviser to institutional clients and mutual fund sponsors in over 50 countries. The firm's innovative investment solutions are built on the strength of proprietary, independent research and span nearly all segments of the global capital markets, including equity, fixed income, multi-asset, and alternative strategies. As a private partnership whose sole business is investment management, their long-term views and interests are aligned with those of their clients. The firm is committed to attracting a talented and diverse workforce, and to fostering an open, collaborative culture of inclusivity because they believe that multiple perspectives lead to more informed investment and business decisions. As an Equal Opportunity Employer, the firm welcomes people with diverse life experiences, fresh ideas, and specialized subject-matter expertise.


About The Role

The firm is currently seeking a Compliance professional to join their Compliance team. The position will support the distribution and marketing of the firm’s funds division internationally. This is a fast-growing part of the business, selling mutual funds to the institutional clients and distributing through major private bank and high net worth firms. The business has $35 billion under management as of 30th June, 2017. Based in London, the primary focus of the role will be the review and approval of fund marketing materials, including presentations, factsheets, brochures, web content, video and email marketing content.  The role will also include providing compliance support to product development and distribution functions. The Analyst will report to the Compliance Officer in London.


Key Responsibilities

  • Review marketing materials, including content of the firm's web pages;

  • Provide day to day advice to Marketing, Global Wealth Management and the Global Business Development & Relationship Management Group on fund marketing content and distribution requirements across various jurisdictions across EMEA;

  • Develop and maintain marketing guidelines, Q&A's, checklists, and country specific marketing memos.

  • Assist with the Compliance Monitoring programme in relation to post use review of marketing material and website content;

  • Assist with the provision of training to the business, specifically in relation to marketing and distribution, and also more generally where required;

  • Provide compliance support for the product development process, attending working group meetings as part of the formal review and establishment of new funds.

  • Advise and assist the KYD Review Group in developing and maintaining a Distributor Due Diligence programme.

  • Provide general support to the  Compliance Officer, particularly in relation to new cross border distribution initiatives.


Skills & Experience

The successful candidate is likely to:

  • Have a strong academic background, including an undergraduate degree;

  • Have relevant experience, ideally gained at another Asset Management firm. Experience of working with/supporting fund activities (specifically in relation to fund marketing and cross border distribution) is strongly preferred;

  • Demonstrate strong compliance knowledge, particularly as it relates to the sale and marketing of funds in multiple jurisdictions;

  • Demonstrate a strong working knowledge of, and interest in, financial markets;

  • Have good business judgment, and be able to work under pressure, both independently and as part of a team.


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