MERJE
Distribution Compliance Officer - Fund/Asset
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MERJE is partnering with a highly regarded asset management firm to recruit a Distribution 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.
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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.
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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.
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