• Permanent, Full time
  • DO Recruitment Advisors
  • 12 Feb 19

AVP Distribution Compliance German/English (M/F)

  • Luxembourg
  • Negotiable
  • Full time

Hi All, one of our client, a leading global asset management group, is recruiting an AVP Distribution Compliance German/English. The ideal candidate will have a proven experience of working within the asset management industry and a good understanding of the regulators processes and procedures. German is mandatory for this position as the person will have a general compliance function for the German office.

AVP Distribution Compliance German/English (M/F)


THE ROLE

The Distribution Advisory team is focusing on three core areas: Product, Marketing and Sales. The role supports all three areas and it is anticipated that there will be a focus on Product development/management and Sales. The key objectives of the department are:


* Provide timely, solutions driven regulatory advice and challenge to the Investments Distribution Activity

  • Provide advice on Financial Promotion rules, approve or provide regulatory input into marketing material
  • Periodic review of the investments EMEA Regulatory Change Framework
  • Liaise with North America and Asian teams to advise on regulatory issues and support the wider Investment's business
  • General compliance function for the German office (policies, regular training of staff, etc)
  • Providing compliance monitoring support as required;
  • Provide support to the Chief Conducting Officer
  • Assist in agreeing a Compliance training plan with the relevant business heads;
  • Prepare training/preparation for regulatory visits in to the Northern European offices.
  • Assist in providing input into Compliance Management Information and reporting to the Client and Distribution Services Committee and other governing body;
  • To collate and produce Compliance reporting for supported areas.
  • Assist with the launch of new products


THE CANDIDATE PROFILE

  • Prior experience of working within the asset management industry
  • Languages: Fluent in English and German
  • Ability to communicate effectively with both business colleagues, the GCO and collaborate effectively across business areas and jurisdictions and establish a relationship as a Trusted Adviser
  • A good understanding of the regulators processes and procedures ideally as they impact an asset management firm and financial promotion
  • An understanding of the upcoming regulatory change programme as it relates to the distribution activities of Asset Managers and their approach to the regulation of Asset Managers in Europe


THE CLIENT

Our client is a leading global asset management group.


At the final stages of the recruitment process, some of our clients ask the successful candidate to provide supporting documentation such as, for example, copies of diplomas or proof of previous jobs, and a standard criminal record check might also be requested.