Distribution Compliance Officer - Fund/Asset

MERJE; Greater London; On-site; GBP 70,000 - 110,000; Full time

Job summary

MERJE has partnered with a leading asset management firm to recruit a Distribution & Marketing Compliance specialist for its London Compliance team. The role focuses on cross-border distribution and providing practical regulatory guidance to support international growth across the UK, Europe and global markets.

You will act as a key compliance contact for international distribution matters, advising on market entry, registrations and ongoing reporting, as well as reviewing marketing materials

Qualifications

• Asset management compliance experience.
• Experience advising distribution or commercial teams on regulatory requirements.
• Strong knowledge of international fund distribution frameworks.

Responsibilities

• Advise the business on cross-border distribution requirements across multiple international jurisdictions.
• Maintain and develop global distribution country guidance and provide guidance to Distribution teams.
• Support international registrations, licences and ongoing regulatory reporting across markets including Europe and beyond.
• Review and approve financial promotions and marketing materials for UK and international audiences.
• Interpret UK and overseas regulatory requirements including MiFID, AIFMD and UCITS, and regulators' expectations.
• Monitor regulatory developments and help the business assess and implement relevant regulatory change.
• Provide constructive challenge and pragmatic compliance advice to senior stakeholders and Distribution teams.

Skills

Cross-border distribution

Regulatory advice

Stakeholder management

MiFID

AIFMD

UCITS

Job description

MERJE is partnering with a highly regarded asset management firm to recruit a Distribution & Marketing Compliance specialist within their London Compliance team.

This is an excellent opportunity for an experienced asset management compliance professional with strong cross-border distribution expertise. Working closely with the Distribution function, you’ll provide practical regulatory advice supporting the firm’s continued international growth across the UK, Europe and wider global markets.

You’ll act as a key compliance contact for international distribution matters, providing advice on both existing markets and new jurisdictions. Responsibilities will include:

• Advising the business on cross-border distribution requirements across multiple international jurisdictions.
• Maintaining and developing global distribution country guidance and providing associated advice to Distribution teams.
• Supporting international registrations, licences and ongoing regulatory reporting across markets including Europe and further afield.
• Reviewing and approving financial promotions and marketing materials for UK and international audiences.
• Interpreting UK and overseas regulatory requirements, including MiFID, AIFMD and UCITS, and requirements arising from overseas regulators.
• Monitoring regulatory developments and helping the business assess and implement relevant regulatory change.
• Providing constructive challenge and pragmatic compliance advice to senior stakeholders and Distribution teams.

The role will also have exposure to wider enterprise risk and compliance activity, including risk assessments, KRIs, conflicts, risk events, policies and regulatory reporting. Importantly, you’ll also support the firm's consideration of SEC Investment Adviser registration and potentially take a leading role in coordinating the associated ongoing compliance activity.

We’re particularly interested in candidates who can demonstrate:

• Strong cross-border distribution compliance experience within asset management.
• Good knowledge of the regulatory framework surrounding international fund distribution.
• Experience advising Distribution, Sales or other commercial teams on regulatory requirements.
• Knowledge of UCITS, AIFMD and MiFID and their application to fund distribution.
• Experience reviewing and approving marketing materials and financial promotions for professional and/or retail audiences.
• Strong communication and stakeholder-management skills, with the confidence to interpret complex regulation and provide clear, commercially pragmatic advice.