About The Role
This role is based in London as part of the EMEA Compliance team. This is a generalist compliance role primarily responsible for the distribution activities of EMEA with primary focus on the review and approval of financial promotions for wholesale and institutional clients across EMEA.
There will also be a need for some assistance where necessary in other with a variety of generalist compliance activities which may include Registrations, AML and Gifts and Entertainment approvals, and other ad hoc compliance items. The individual will have ongoing interaction with Sales staff and Marketing across the EMEA offices. This role reports to the Senior Compliance Manager, EMEA.
- Financial Promotions review and approvals
- AML and KYC checks on new clients and ongoing monitoring.
- Gifts and Entertainment approvals and monitoring
- Assumes additional duties as requested or assigned.
Skills, Knowledge & Abilities
- Strong interpersonal and customer service skills
- Working knowledge and understanding of applicable FCA rules and regulations particularly in relation to COBS 4. Effective analytical skills, including the ability to accumulate, organise, and assimilate large amounts of information working to tight deadlines.
- Strong attention to detail and accuracy
- Ability to manage multiple tasks simultaneously
- Basic to intermediate computer skills, including Microsoft Word and Excel
- Strong verbal and written communication skills
- 2-3 years compliance financial services experience preferably in in the mutual fund industry.
- Bachelor’s degree or equivalent experience preferred.