Compliance Officer

4 weeks ago

London, United Kingdom Austin Andrew Full time

The 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 Materials

  • Provide 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)
  • Support initial compliance review of investor RFPs and DDQs
  • Central point of contact to coordinate the global compliance review and approval process with regional Compliance teams

 

Create Brand Compliance

  • Ensure that marketing materials are in line with brand guidelines
  • Act as a brand guardian, support consistency in visual identity and tone of voice

 

Knowledge Management

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

 

Required Qualifications & Experience:

  • Expertise in fund marketing compliance (commingled funds, SMA and one off-deals)
  • At least four years’ experience from working in-house for an investment manager, or within an international law firm, e.g., as paralegal
  • Preferably based in Europe to deal with disparate time-zones
  • Organized, methodical, pro-active and able to work independently
  • Bachelor's degree in a related discipline with a keen interest in financial markets; Law degree or equivalent preferred
  • Demonstrated strategic and innovative thinking skills with the ability to see the big picture, while also being able to drive projects from development to completion
  • Strong desire to learn and develop
  • Develop and maintain strong professional relationships with internal and external stakeholders
  • Possess excellent communication skills
  • Must be proficient in Microsoft Office applications
  • Periodic travel as necessary

 

 

Please apply online

 

Fergus Hooley

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