Compliance Financial Promotions Asset Management Buyside Marketing and

Job type:
ASAP to 6 weeks notice
6 months Interim + Extension Likely
james joseph associates
flag_no United Kingdom
project ID:

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Compliance Financial Promotions Asset Management Buyside Marketing and Distribution

Our client is one of the worlds leading and most respected asset management institutions. An opportunity has arisen, initially on an interim basis to join the Marketing & Distribution Compliance team to focus on the Alternatives growth strategy and related initiatives, including working closely with the Alternatives business on their sales and marketing content.

This is a fantastic opportunity to assist the business using product knowledge and knowledge of applicable regulatory requirements in EMEA, in particular, FCA Financial Promotions Regulations (eg Treating Customers Fairly and COBS 4) and the new MiFID II requirements.

The individual will report to the EMEA Head of Marketing & Distribution Compliance and will also work as part of a larger global team to support the Alternatives business. The role will also involve cross-border distribution, relationship management with internal stakeholders across jurisdictions and delivering on a challenging project pipeline.


  • Review and provide advice on sales materials for the Alternatives business, including financial promotions at professional and end investor level
  • Provide guidance on regulatory and reputational risk associated with various initiatives
  • Participate on working groups with internal stakeholders to support initiatives, including fund launches and associated issues
  • Work closely with global colleagues to help develop and ensure consistency of policy approach
  • Partner with colleagues within Legal & Compliance on the development and marketing of new products and services
  • Advising sales team on cross-border marketing rules and local regulations in EMEA
  • Deliver targeted training as needed to internal stakeholders
  • Advise on product distribution issues for our retail and institutional client businesses
  • Analyze regulatory developments relevant to the Alternatives business


  • 5 - 7 years of legal and/or regulatory (compliance) experience in asset management
  • Bachelor's Degree - preference within Law, but flexible on discipline
  • Strong knowledge of Alternatives business and products (private equity and/or hedge funds)
  • Experience in application of financial promotion requirements
  • Strong analytical skills
  • Strong written and oral communication skills
  • High standard of accuracy and excellent attention to detail
  • Ability to prioritise workloads, multi-task and adhere to deadlines
  • Excellent organisational and leadership skills
  • Collaborative team player; ability to work on team projects and also work autonomously
  • Detailed knowledge of cross-border marketing rules in EMEA