COMPLIANCE ASSOCIATE DIRECTOR - Marketing and Distribution (M/F)
• Acting as the day-to-day compliance advisor to the global MCR teams
• Overseeing Group's EU branches activities
• Assisting the Head of MCR Compliance in the development, maintenance and update of internal guidance, policies, and procedures
• Delivering regulatory assessments and guidance for new product initiatives
• Supporting Group's Private Wealth distribution activities, including reviewing distribution agreements
• Reviewing marketing materials across all investment strategies for compliance with applicable regulatory requirements
• Providing ESG regulatory guidance to the business where required
• Working closely with the business and global Compliance and Legal functions to implement relevant regulatory changes.
• Deputising for the Head of MCR Compliance and assist with other day-to-day compliance matters as needed.
THE CANDIDATE PROFILE:
• Extensive experience at an investment firm, law firm or consultancy, with relevant regulatory experience in marketing, distribution and product governance
• Strong understanding of AIFMD, MiFID and CBDF is required. Experience with the SEC Marketing Rules an advantage
• Knowledge of the global ESG regulatory landscape desirable
• Strong attention to detail and analytical skills;
• Ability to work autonomously and to manage priorities;
• Ability to communicate and draft clearly, confidently and effectively;
• Substantial initiative, intellectual curiosity and drive.
Our client is an asset manager with a strong focus on alternative funds.
At the final stages of the recruitment process, the successful candidate can be asked 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.