Role summary
A key member of the European compliance team, this Lead role ensures the compliance and supervision of our distribution, sales, and marketing activities mainly across EMEA and support Asia alongside the local L&C team. In-depth knowledge of financial services is required with extensive experience in the European and Global investment management regulatory environment. The role demands a strong drive to achieve results and the ability to leverage business insights to inform compliance strategies.
Responsible for ensuring compliance of fund and client promotional activities (marketing campaigns, digital, social media, roadshow) with MiFID, UCITS/AIF, and the FCA handbooks, tracking requests, reviewing materials, and providing feedback.
Manage the creation, review, and implementation of compliance guidance for marketing activities in Europe as well as in partnership with Legal and Compliance in the US, Canada and Asia. This role also requires cultivating innovation to enhance compliance processes and drive engagement across teams. Every person within the European L&C team is responsible for legal, regulatory, and compliance work and is expected to work with other associates across multiple jurisdictions. The precise requirements of the role will develop over time in response to the changing needs of the business.
Primary responsibilities/essential functions
Distribution, sales, and marketing advisory & compliance
Responsible for managing the adherence of fund and client promotional/marketing materials including advertisements, brochures, social media posts, and website content with regulatory requirements.
Keeping track of incoming requests, providing feedback in relation to FCA/MiFID/UCITS/AIF rules, and identifying the wider benefit of the feedback provided.
RFP and DDQ Review: Analyze and review RFPs and DDQs to ensure accuracy, completeness, and compliance with legal and regulatory requirements.
Manage the creation, review, and implementation of new compliance guidance for all marketing team activity.
Lead the regulatory watch of all the above matters.
Lead efforts to improve and enhance processes within area of expertise.
Creates materials and provides training to local associates on the above matters
Key participation in departmental and interdepartmental projects to create new processes and resolve cross-group business issues.
Responsible for identifying issues and initiating potential solutions, directing work effectively to ensure compliance objectives are met.
Interacts with external counsel, auditors and regulators, on issues of high complexity
Establish, develop external networks with industry associations and represent Capital with regulatory authorities to gather intelligence and advise the business of relevant developments.
Skills/qualifications
Self-starter, demonstrating the ability to plan processes, projects and work across broad, diverse groups to assure work is completed in a timely manner.
Demonstrates ability to informally lead, train, and mentor more junior associates.
Demonstrates ability to effectively plan and manage the work of others.
In-depth knowledge of financial services required with proven experience in the European and Global investment management regulatory environment.
A curious and enquiring mindset, with the ability to analyze, assess, and make judgements on regulations.
Happy to challenge the status quo and cultivate innovation within the team.
Brings energy and enthusiasm to the environment, driving engagement among team members.
Strong commitment to quality, accuracy, and attention to detail.
Strong customer focus and ability to build strong working relationships, valuing differences in perspectives.
Instills trust and the ability to maintain a high level of confidentiality and integrity.
Ability to utilize technology to enhance and automate, refine, and streamline processes.
Core requirements:
University degree, of which a Compliance degree or other relevant certification is a plus;
10-15+ years of relevant compliance experience in the financial industry (asset management, mutual funds, or banking), or within a consultancy and/or audit firm;
Previous experience in oversight of financial promotion and/or cross-border compliance (UCITS/AIF, MiFID, FCA handbook) is a plus;
Able to speak, draft, and work in English; a second language is a preference.
In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital’s annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.
You can learn more about our compensation and benefits here.
* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.