Compliance Manager - Distribution

About this role

One Ten Associates are partnering with a leading global institutional asset manager to appoint a Compliance Officer within its Distribution Compliance team.

An opportunity has arisen for an experienced Compliance Professional to join the firm’s London-based team, with responsibility for sales and distribution compliance across the UK, EMEA and selected international markets.

Working closely with colleagues across Compliance, Sales and Distribution teams, the successful candidate will provide practical regulatory guidance and help ensure that the firm’s products and communications are marketed appropriately across multiple jurisdictions.

Key Responsibilities

• Review and approve marketing materials and other client-facing communications.
• Advise commercial and product teams on the regulatory requirements governing the promotion and distribution of investment products across multiple jurisdictions.
• Provide compliance input into new product launches, market-entry projects and wider distribution activities.
• Maintain and improve the policies, procedures and controls supporting the firm’s marketing and distribution activities.
• Track relevant regulatory developments and help the business incorporate new requirements into its existing processes.
• Design and deliver training to colleagues across Sales, Distribution, and other relevant functions.

Experience

• Previous marketing/distribution compliance experience within an asset manager
• An understanding of cross-border distribution requirements across the UK and EMEA.
• Strong written communication, stakeholder-management and organisational skills.

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