Our Client, a Globally Significant Private Markets firm, is looking for a Compliance Officer to join the EMEA Marketing and Distribution Compliance Team, acting as No.2 to the Head of the team.
The focus of this role is on financial promotions and cross-border distribution, but it also includes working on other areas of UK, Switzerland, EU, and MEA regulations. It requires a close partnership with other functions within the organisation including legal, product development, client coverage and marketing teams, as well as frequent co-operation with internal stakeholders and compliance teams across various jurisdictions.
Key Responsibilities:
- Review and approve financial promotions, marketing materials, client reports, RFPs and other client communications
- Provide advice and guidance to client coverage, product and marketing teams on regulatory matters and cross-border distribution rules
- Prepare internal compliance reports for the Board and Committees
- Create new and review existing compliance policies and procedures
Key Requirements:
- 5+ years of relevant experience in an asset management compliance role
- Knowledge of the UK and European regulatory framework, in particular the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules
- Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and ELTIF requirements.
If this role sounds of interest please apply.
Danos Associates recruits premium Compliance, Financial Crime, Risk, and Legal professionals across the world’s leading institutions, enabling them to fulfil their legal, risk & regulatory responsibilities. With offices in London, New York, Hong Kong, and Singapore. We are a professional, discreet, and personalised Search and Selection firm. We have executed mandates at all business levels in Europe, the Americas, Asia Pacific, the Middle East, and Africa. We cover junior, mid-level and senior appointments on an international basis. Danos Associates delivers a customised and creative approach to the needs of its clients and candidates. We aim to offer exceptional and consistent quality with a particular focus on delivery - Our success is based on our in-depth market knowledge across Financial Services, Commerce & Industry, and the Regulators. Our company values are grounded on offering a service based on understanding the unique aims of both clients and candidates from whom our success is entirely dependent. By understanding how they operate and by listening to their needs we can provide a rapid and effective response to the requirements they set us. The ability to identify and attract top talent in the market to fill executive level positions is an essential component in building a dynamic institution. Clients and candidates who have utilised our services both nationally and internationally, have rewarded the value-added benefits with loyalty and repeat business.
