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Compliance Associate

4 months ago

Camden Area, United Kingdom Austin Andrew Ltd Full time
We are working closely with a multi -billion alternative asset manager , looking after global assets in both the private and public marketsnThis is a unique role in that it reports into both the global head of marketing and communications in London but also as a matrix into the global chief compliance officer overseas

Role Overview:nThe role is responsible for providing initial legal and brand compliance review for the suite of marketing materials The successful candidate will demonstrate excellent collaboration and stakeholder management skills, working closely with a wide range of stakeholder groups. The role requires a self-starter with a hands-on approach and expertise in providing compliance advice for marketing materials

Responsibilities:

Manage the Global Compliance Review for Marketing MaterialsnProvide initial of all global marketing materials (pitchbooks, fliers, pipeline decks, deal decks, overview decks) to comply with regional marketing rules (ESMA, US, Asia), firm standards and market requirements (in cooperation with regional compliance teams)nSupport initial compliance review of investor RFPs and DDQsnCentral point of contact to coordinate the global compliance review and approval process with regional Compliance teams

Create Brand CompliancenEnsure that marketing materials are in line with brand guidelinesnAct as a brand guardian, support consistency in visual identity and tone of voice

Knowledge ManagementnCoordinate, initiate and work on regular updates of the (existing) marketing libraries (general disclaimer and jurisdictional notices) published on the corporate intranet platformnSupport and educate teams with recent developments and updates of marketing rules on a global basis (in cooperation with regional Legal & Compliance)nTracking and monitoring global registration/passporting of products in the “Global fund matrix”nMaintaining database of marketing advice received in relation to specific jurisdictions and issuesnSupport the EU marketing process (pre-marketing notifications, application of EU passports), mainly handled by Lux legal team

Required Qualifications & Experience:nExpertise in fund marketing compliance (commingled funds, SMA and one off-deals)nAt least two years’ experience from working in-house for an investment manager, or within an international law firm, e.g., as paralegalnPreferably based in Europe to deal with disparate time-zonesnOrganized, methodical, pro-active and able to work independentlynBachelor's degree in a related discipline with a keen interest in financial markets; Law degree or equivalent preferrednDemonstrated strategic and innovative thinking skills with the ability to see the big picture, while also being able to drive projects from development to completionnStrong desire to learn and developnDevelop and maintain strong professional relationships with internal and external stakeholdersnPossess excellent communication skillsnMust be proficient in Microsoft Office applicationsnPeriodic travel as necessary

Please apply online

Fergus Hooley