Product & Sales - Senior Compliance Advisory - London, United Kingdom - eFinancialCareers
Description
Job Title:
Product & Sales - Senior Compliance Advisory
Department:
Compliance
Reporting to:
Head of Advisory. Compliance
Overall Purpose of Role
Principal Responsibilities
Advice/Guidance
- Regulatory requirements for selling Barings' products/services in new and existing jurisdictions (mainly EMEA) in conjunction with the Irish office.
- Product governance framework oversight (product approval, ongoing reviews etc.)
- Fund registration, private placement and reverse solicitation considerations
- Fund documentation reviews e.g. prospectus / offering documents
- Reviews of Distribution Agreements
- Assist the Heads of Compliance and Distribution in Ireland with the implementation and oversight of the distribution oversight and compliance Programmes
Regulatory Developments
- Work proactively with Sales and Product Teams on the implementation of new regulations helping to identify effective solutions that meet both regulatory expectations and Barings business model.
- Assist the Head of Advisory on maintaining the internal regulatory tracker and completing initial analysis of new regulations that are likely to have a material impact on Barings.
- Maintain relevant documents and reports to support the above activities
- Participate or lead presentations on regulatory changes to business units
- Attend relevant events at law firms / consultants / trade bodies and feed insights / market intelligence back to colleagues.
- Support the Head of Advisory on providing timely advice to Business Units on the following regulatory requirements: AIFMD, UCITS, MiFID II Organisational and Investor Protection, Asset Management Market Study, Cost transparency (e.g. PRIIPS), ESG with focuson SFDR.
Compliance Policies/Framework
- Keeping Compliance policies and procedures up to date
- Produce new and/or amended Compliance policies and procedures as a result of regulatory or business change.
- Input into the Compliance plan as required.
- Undertake other Compliance processes as required.
- Marketing sign off's as required. _These will be infrequent._
- Assist the Head of Advisory in maintaining Compliance processes e.g. the Conflicts of Interest Register, Client takeon and annual planning.
Relationships with Third Parties
- Liaise and interact with industry trade bodies (e.g. the IA), consultants and external auditors as required.
- Assist the Head of Compliance in dealing with visits/requests from regulators, including preparation and reporting activities
Reporting
- Provide and/or input into Compliance reports to various boards and committees
- Assist the Heads of Compliance and Distribution in Ireland with required Irish reporting.
Experience & Skills
- Strong knowledge of Distribution, Marketing and Product related regulations, including:
- Various selling regulations across jurisdictions
- licences, fund registration, private placement, reverse solicitation
- Fund regulations across various structures
- UK, Ireland, Luxembourg
- FCA/MiFID II requirements re product governance, TCF, distributor oversight, COLL, FUND
- Cost transparency
- PRIIPS
- ESG
- SFDR and UK SDR
- Good knowledge of Conflicts of Interest, Cost transparency, COBS and Wholesale Conduct?
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