Distribution Compliance Officer
- London, England, United Kingdom
- Permanent, Full time
- Lawbrook Finance
- 16 Jan 18 2018-01-16
A global asset management firm is looking for a team leader to head up their Distribution Compliance team. In addition to reviewing and signing off your individual work, you will also be responsible for signing off team marketing materials. You will also provide advice and assist with wider Compliance projects.
• Own and enhance the financial promotions approval framework, ensuring the framework remains appropriate for approval of both Professional and Retail content in accordance with COBS 4 and jurisdictional requirements. • Manage own workload in terms of signoffs, prioritising where required. • Make recommendations for improvement of processes and be able to communicate these effectively in policies and procedures. • Maintain relationships with key internal stakeholders who include, but are not limited to: Marketing, Sales, and Client Reporting. • Provide timely and accurate advice to the Distribution teams as and when required. • Provide accurate and timely Management Information for a range of Committees. • Provide periodic training to the Distribution teams in respect of key regulatory concerns such as product governance, conflicts of interest etc. • Update Distribution teams on relevant regulations. • Act as Compliance representative for Distribution and Marketing initiatives. • Provide technical advice in local selling practice restrictions with the support of the Legal team. • Keep abreast of changes in private placement rules in a number of jurisdictions. • Pro-active Compliance support and training for Asian, European and Latin America Distribution Teams. • Responsible for the oversight and approval of KIIDs from a Compliance perspective