Head Of Distribution Compliance  – Retail Asset Management Experience Required

£130K - £150K + Bonus + Bens
06 Dec 2017
05 Jan 2018
Job Sector
Experience Level
Department Head, Executive, Management
Contract Type
Full time, Permanent

Our client, a reputable global asset management house, is looking to hire an exceptional Head of Distribution Compliance.  Primarily responsible for managing the UK & European distribution compliance teams, duties will include:  

• Manage the Distribution Compliance function ensuring that the distribution business complies with all relevant rules and regulations.  
• Keep abreast of new regulatory developments and rules, assess their impact on the business and assist in ensuring appropriate action is taken; in particular developments relating to:
   o PRIIP’s & KID’s
   o Financial Promotions & Cross Border Distribution
   o AIFMD (marketing & disclosure aspects).
• Ensure a high-quality standard of product materials are delivered in accordance to the delivery requirements of internal and regulatory distribution requirements - materials include: key features documents, bespoke presentations, sales aids, fact sheets, product web pages, and promotional content for product campaigns and webcasts.
• Ensure that Compliance policies and procedures are updated to meet the needs of the distribution teams as and when regulatory changes arise.
• Support and provide advice to global compliance teams on distribution and product matters.
• Project manage the compliance related aspects of product launches and product corporate actions requirements in conjunction with the Product team.
• Advise Sales & Marketing on all product related compliance matters and provide regular feedback on requirements to the broader Marketing Leadership team.
• Maintain a high level of compliance knowledge related to European markets and adhere to the appropriate financial promotions procedures.  

The successful candidate will have gained a significant number of years experience with a detailed knowledge of the full spectrum of asset management products. While you must be familiar with existing FSA & European regulatory issues including PRIIP’s & KID’s requirements as important will be your thorough understanding of the sales & marketing distribution channels and platforms and the necessary procedures and controls required to ensure all regulatory requirements are met and adhered too.  

This is an exceptional opportunity for a senior compliance distribution specialist to join a truly global and reputable asset management business that has a very stable and successful history. It goes without saying that such a role requires not only thought leadership on regulatory developments but the ability to influence your colleagues and senior management as well as to develop relationships with external industry peers and regulators.  

Should you feel you have the experience and above average communication and technical skills to be success in this role, then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com  

Symes Collins – Part of the Compliance Recruitment Solutions Group  

We are acting as an employment agency in relation to this role. 

 Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.