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Compliance Officer (Financial Promotions Review)

Information About This Job

Job Title: Compliance Officer (Financial Promotions Review)
Contract Type: Permanent
Location: London
Salary: Competitive Salary
Contact Name: Mark Foy
Contact Email:
Job Published: almost 2 years ago

Job Description

We are looking to recruit a bright, seasoned Compliance Officer to join our client's team in London.


About The Role

The team provides services to the European hub of the the firms Global Distribution business, its entities and activities, and to the it's European domiciled funds.

The entities covered are based in the UK, Ireland and Switzerland, and there are sales offices in Paris, Madrid, Frankfurt, Milan, Zurich and Geneva.


Key Responsibilities

  • Review of marketing and presentational materials, as produced by the LM Marketing and Sales teams, for Compliance with relevant regulatory requirements. This includes standard materials (pitch books, fact sheet, prospectus) as well as an increasing number of customised materials.

  • To build a relationship with Distribution focused Compliance colleagues to ensure consistency of service and advice.

  • To build a relationship with the Marketing, Sales and Client Services teams to help with queries and standard environment challenges.

  • Provide training to the Marketing and Sales teams.

  • Support Compliance of the EU branch offices and Swiss offices.

  • Keeping up-to-date with regulatory developments that impact marketing materials, fund distribution, and cross border fund industry.

  • Make recommendations for appropriate business procedural amendments when necessary to meet changed regulations.


Skills & Experience

  • 3-5 years' experience in compliance or other relevant functions.

  • Educated to degree level or equivalent qualification preferably in related areas such as Compliance, Financial Regulation, Law, Governance.

  • Knowledge of FC rules or equivalent as applicable to asset management and UCITS and AIFMD environments and knowledge of financial promotions and distribution elements.

  • Understanding of structure and requirements relating to European domiciled UCITS Funds and / or alternative funds, and practical experience of at least one of UK, Luxembourg, or Dublin domiciled funds.

  • Prior experience of review of marketing material for UCITS Funds and / or alternative funds, ideally including cross border marketing.

  • Multi-lingual preferred (French /German /Italian /Spanish)

  • Preferred/Nice to Have:

  • Professional qualification such as IAQ, IMC, CFRA, or an Investment Compliance diploma advantageous.

  • Knowledge of European regulators requirements would be advantageous.

  • Prior experience of due diligence or financial crime matters would be preferred

  • Prior experience of Salesforce and/or Lexis-Nexis systems would be preferred.

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