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Compliance Manager

2 months ago

London, UK, United Kingdom Inventum Group Full time

Inventum are working with an established asset manager on a new permanent opportunity in London.


Responsibilities:

  • Take responsibility for overseeing regulatory compliance of the clients marketing, sales and client communication materials
  • Review all content and thought leadership, advertising, sales literature and other marketing materials ensuring that all relevant firm requirements and regulations are met
  • Review all product and sales materials including fund marketing material and client specific reporting, ensuring that all relevant firm requirements and regulations are met
  • Conduct regular reviews of RFP & DDQ materials, ensuring compliance with specific regulations
  • Manage and ensure compliance requirements are met for digital properties
  • Carry out checks of the control framework, escalating and documenting any findings
  • Work with 2nd line of defence to maintain Compliance Policy, serve as point person within the 1st line for internal and external audits


Required:

  • Investment Management experience
  • Solid experience of relevant compliance experience, including knowledge of the rules and regulations across EMEA and APAC
  • Experience in regulations relevant for different client audiences including institutional and intermediary channels
  • Experience with reviewing advertising and marketing materials for funds