Compliance Manager Marketing Distribution

Job description

12 Month Fixed Term Contract

The Compliance Manager will be a key member of the Compliance team, providing high-quality advisory compliance support to the UK Product Provider Oversight function within an asset management business. The successful candidate will deliver independent compliance oversight, advice, guidance, and training for the firm’s UK product providers and their range of UCITS and NURS funds, alternative investment funds, and unit-linked pension funds.

This role will involve close collaboration with subject matter experts and requires strong analytical, writing, and presentation skills, including the ability to use data visualisation tools effectively.

• Provide written and verbal compliance advice and guidance to Marketing and Distribution teams regarding the promotion and distribution of UK collective investment and pension funds.
• Review marketing materials and offer timely advice on marketing and disclosure requirements for UK funds.
• Participate in regulatory change and business-led projects by assessing regulatory requirements and risks. Provide compliance oversight, advice, and reporting as needed.
• Deliver compliance input on product development, management, and distribution for UK collective and pension funds. Assess new propositions and initiatives to ensure fair customer outcomes, regulatory compliance, and appropriate risk mitigation.
• Maintain up-to-date knowledge of regulatory requirements, industry best practice, and market developments. Provide proactive advice on regulatory change and assist in responding to consultation papers.
• Ensure relevant matters are reported to product providers as appropriate and represent Compliance in internal or external meetings.
• Develop and maintain strong working relationships with business areas and other risk and compliance teams to ensure coordinated management of regulatory developments affecting UK funds.
• Work collaboratively with colleagues to promote a positive compliance culture across the organisation and ensure regulatory expectations are consistently met.
• Support the Chief Compliance Officer and compliance colleagues in managing the compliance function efficiently, contributing to the development of effective compliance tools and methods, and providing team support as required.
• Ensure that the principles of Consumer Duty are fully understood and embedded within business practices.

Qualifications, Knowledge, and Skills

• University degree in Business, Law, or a related discipline.
• Strong understanding of the regulatory framework governing UCITS and AIF product providers in the UK.
• Solid knowledge of UK financial promotion, marketing rules, and industry guidance.
• Previous experience in a similar compliance role within a financial services or asset management firm.
• Strong understanding of FCA rules and practical regulatory application.
• Proven ability to interpret and apply regulatory requirements to real-world business situations and develop compliant, commercially viable solutions.
• Experience conducting monitoring or project-based compliance work with clear deliverables.
• Familiarity with UK investment products and fund management activities.
• Experience presenting reports to senior management or clients.
• Strong relationship management and prioritisation skills.
• Experience or understanding of private markets is advantageous.

Extra information

Status

Closed

Education Level

Secondary School

Location

City of London

Type of Contract

Full-time jobs

Profession type

Accountancy

Full UK/EU driving license preferred

No

Car Preferred

No

Must be eligible to work in the EU

No

Cover Letter Required

No

Languages

English