Product & Sales - Senior Compliance Advisory - London, United Kingdom - eFinancialCareers

eFinancialCareers
eFinancialCareers
Verified Company
London, United Kingdom

3 weeks ago

Tom O´Connor

Posted by:

Tom O´Connor

beBee Recruiter
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?
More jobs from eFinancialCareers
See all jobs of eFinancialCareers