This position is featurly to analyse and interpret FCA regulations, and other relevant rules and legislation, and to provide compliance support to product and operational projects. The role involves a high degree of autonomy, with the Compliance Manager expected to take the lead on a number of regulatory projects and to deputise for the Head of Compliance when required.
As the Compliance Distribution Manager, you will be responsible for:
Provide timely, solutions driven regulatory advice and challenge to the Investments Distribution Activity (Marketing, Product Development and Management)
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 regulatory issues and support the wider business
Deputise for Head of Distribution Compliance as appropriate
Assist in agreeing a Compliance training plan with the relevant business heads
Prepare and deliver training and test understanding
Desirable experience for the Compliance Distribution Manager:
Must have knowledge and experience of retail fund distribution and supporting operations.
Knowledge and experience of European/international fund distribution useful but not essential.
An ability to communicate effectively with both business colleagues and collaborate effectively across business areas and jurisdictions and establish a relationship as a trusted adviser
Prior experience of working within the asset management industry
An good understanding of the FCA's processes and procedures ideally as they impact an asset management firm
An understanding of the upcoming regulatory change programme as it relates to the distribution activities of Asset Managers and the FCA's approach to the regulation of Asset Mangers