The Distribution Advisory team is focusing on three core areas: Product, Marketing and Sales. The role supports all three areas and it is anticipated that there will be a focus on Product development/management and Sales. The key objectives of the department are:
* Provide timely, solutions driven regulatory advice and challenge to the Investments Distribution Activity
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 on regulatory issues and support the wider Investment's business
General compliance function for the German office (policies, regular training of staff, etc)
Providing compliance monitoring support as required;
Provide support to the Chief Conducting Officer
Assist in agreeing a Compliance training plan with the relevant business heads;
Prepare training/preparation for regulatory visits in to the Northern European offices.
Assist in providing input into Compliance Management Information and reporting to the Client and Distribution Services Committee and other governing body;
To collate and produce Compliance reporting for supported areas.
Assist with the launch of new products
THE CANDIDATE PROFILE
Prior experience of working within the asset management industry
Languages: Fluent in English and German
Ability to communicate effectively with both business colleagues, the GCO and collaborate effectively across business areas and jurisdictions and establish a relationship as a Trusted Adviser
A good understanding of the regulators processes and procedures ideally as they impact an asset management firm and financial promotion
An understanding of the upcoming regulatory change programme as it relates to the distribution activities of Asset Managers and their approach to the regulation of Asset Managers in Europe
Our client is a leading global asset management group.
At the final stages of the recruitment process, some of our clients ask the successful candidate 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.
Internal Number: 5026772
About DO Recruitment Advisors
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