Our client gives you the opportunity to become a trusted advisor to the Sales and Products teams, providing guidance arising from regulatory changes and queries from the business.
Responsibilities will include
Advice and Guidance on:
Regulatory products and services, mainly in EMEA.
Product governance framework oversight
Fund documentation such as the prospectus
Assisting the Head of Compliance and Distribution in their relevant programmes
Regulatory Developments such as liaising with the Senior Policy Compliance Manager on changes which impact product development and sales
Work with the Sales and Product teams on solutions which satisfy the needs of the firm and of the regulators.
Assist the Senior Policy Compliance Manager in keeping the Sales /Product compliance policies up to date.
Draft new policies when required by regulatory change.
Liaise with industry trade bodies (IA), consultants and external auditors
Assist the Head of Compliance in requests and visits from regulators
Input into reports to various boards and committees.
At least 5 years' recent experience in a business facing role dealing with Distribution or Sales or Marketing or Product compliance either within a Buy Side firm (Asset Manager) or regulatory consultant / law firm working with Buy Side clients.
Proactive and Solution orientated with first class written and verbal communication skills
Ability (and ideally experience) engaging and influencing stake holders such as the sales team.
Ability to build relationships yet maintain independent thinking
Good knowledge of distribution, marketing and product related regulations such as:
Selling regulations across jurisdictions, licences, fund registration, private placement, reverse solicitation.
Fund regulations across UK, Ireland and Luxembourg
FCA / MiFID II requirements re product governance, TCF and distributer oversight.
This is an exceptionally good opportunity at a time of year when many people are looking but few good firms are hiring. I will read all CV's in the order that they come in, however I may not have time to reject the inappropriate ones in person. For this I apologise.
The best chance of getting this role is to put in detail either in your CV or in a covering letter, information about your 5 + years Buy Side Compliance from 2013 until now
Internal Number: 4991097
About Carnegie Consulting
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