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Marketing Compliance Officer

Information About This Job

Job Title: Marketing Compliance Officer
Contract Type: Permanent
Location: London
Industry:
Contact Name: Ben Kinley
Contact Email: bkinley@lawsonchase.com
Job Published: over 1 year ago

Job Description

About The Company

The company is an active investment management firm focused on delivering performance and client solutions through its five investment management businesses.

The firm's investment management businesses provide long-only, alternative and private markets products on a single and multi-manager basis, leveraging the firm’s robust infrastructure to provide a diverse range of strategies across investment approaches, styles and asset classes. 

The firm also supports many awards, charities and initiatives around the world.

 

About The Role

The Distribution Compliance team is looking to hire a Compliance professional to cover matters relating to the firm’s marketing initiatives.  

The individual will work towards managing the sign-off of marketing communications across 5 investment management divisions (a discretionary hedge fund manager and long-only manager, a fund of funds manager, a quantitative CTA manager, a US based systematic investment manager and a newly launched private markets division). This is a challenging role across multiple strategies and product types and offers the opportunity for involvement in diverse cross border institutional and retail distributions activities globally. 

 

Key Responsibilities

The successful individual will be expected to operate across different areas with a specific initial focus on;

  • Sign off marketing communications and coordinating the sign-off of marketing communications across all product types for global distribution 
  • Maintain and develop policies and guidance to ensure the firm has the necessary tools to produce compliant marketing materials 
  • Pro-active involvement  all regulatory development work impacting marketing communications 
  • Develop relationships and provide necessary training to all teams across the organisation involved in the production and dissemination of marketing communications 
  • Provide regulatory advice to the business on the content of Key Investor Information Documents (“KIIDs”) and manage the regulatory approval process for KIIDs 
  • Be a key point of contact for the global website team (including responsibility for managing product and user type visibility globally) 
  • Be a key point of contact for the Global Communications team, including reviewing all corporate and product press release 
  • Work closely with the US Compliance team on pre-approval of materials intended for a ROW and US audience and generally to agree systems and controls between the US and ROW Compliance team 

The individual will be expected to provide assistance across the team and therefore the role will require significant cross-training on different areas managed by the team and involvement in supporting with the team’s broader responsibilities.

 

Technical Skills

  • Experience from a leading asset manager / investment bank / hedge fund
  • Have a good understanding of the asset management industry, including different fund types and an understanding of a funds legal structure
  • Must have a level of financial literacy in order to grasp technical investment concepts in order to provide appropriate challenge where necessary
  • Will have obtained or be willing to work toward obtaining relevant professional qualifications including the Investment Management Certificate and the Investment Compliance Diploma (or similar/equivalent qualifications)
  • Will have an understanding and exposure to relevant FCA rules, including those relating to the COLL and FUND sourcebooks and COB rules such as Client Categorisation, Client Agreements, Suitability, Appropriateness and Financial Promotions
  • Knowledge and experience on regulatory developments including MiFIDII, PRIIPS and other relevant FCA publications will be an advantage
  • Will have some understanding or exposure to cross-border distribution issues (e.g. licensing obligations and marketing restrictions)
  • Energetic personality with the drive to effect change and develop relationships across all levels of the organisation 

 

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