You will be working alongside the Sales and Product related teams as their advisor. To do this successfully you will have to gain their respect and trust by guiding them in regulatory matters rather than policing them. This must be balanced by the need to stand far enough apart to be able to see the bigger picture. You will communicate constantly with your counterpart in Compliance Policy so you know when regulatory changes will impact your teams and be ready with the appropriate advice before it is asked for. Any new policies that need updating will be drafted, amended and implemented by you.
You will have a minimum of 5 years compliance experience in a business facing role in an Asset Management firm or regulatory consultants / law firm.
Solid grounding in Fund regulations across various structures in the UK, Ireland and Luxembourg – knowledge of UCITS
You will have great presentation skills, both written and oral so you can influence your client group in a collegiate way
You will be happy to use your initiative and work alone or in a team.
You will have a good knowledge of MiFID II / FCA requirements re product governance, TCF and distributer oversight.
You will have a good knowledge of distribution, marketing and product related regulations.