Compliance Manager, Funds and Distribution (12 Month FTC)

London, United Kingdom
20 Apr 2023
22 Apr 2023
Job Function
Industry Sector
Finance - General
Employment Type
Full Time
Job summary

Job Purpose

To provide a key point of contact between the UK Sales, Distribution and Marketing business lines and UK Compliance. The individual will provide strategic input and expertise into the development of the UK Distribution model and the production of marketing materials. The individual will sponsor relevant projects through to implementation.

Key Accountabilities
  • To be the primary Compliance point of contact for all technical queries and regulatory matters relating to marketing and distribution.
  • Provide advice, guidance, and training to the business in relation to current and emerging regulations in respect of product distribution and marketing, including cross border activities.
  • To sponsor the development of workflow tools and working practices that enable more efficient reviews of both UK and global marketing materials.
  • To provide support, training, and guidance to the financial promotions team members, for documents issued by AXA IM UK and other AXA IM entities into the UK.
  • Assist in the development of management information to track marketing approvals and assess the effectiveness of the Distribution teams in producing quality documentation.
  • Assist the Compliance monitoring team with periodic compliance monitoring reviews relevant to production of marketing materials.
  • Assist the business with the preparation and compilation of regulatory reports and summaries to various committees of the Board and Senior Management, as required.
  • Assist in the maintenance and revision of applicable policies and documents.

Role Requirements

  • Degree or relevant industry qualifications

  • Proven relevant experience, preferably gained in an asset management or equivalent environment.
  • Experience reviewing both retail and institutional financial promotions, across multi products and asset classes.

Knowledge and Skills
  • Knowledge of FCA COBS Regulations specific to financial promotions. AIFMD and UCITS, cross-border marketing, ESG knowledge desirable.
  • Energetic personality with the drive to effect change and develop relationships across all levels of the organisation

  • Strong written and verbal communication skills
  • Strong analytical skills
  • Able to produce training material which interprets FCA rules into simple English
  • Able to use initiative, work unsupervised and comfortable taking responsibility
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