Distribution Compliance Officer

  • £70000 GBP
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • Lawbrook Finance
  • 20 Aug 18 2018-08-20

A global asset management firm is looking for a Distribution Compliance Associate to assist with distribution oversight, review and approve financial promotions and assist with projects and policy maintenance.

- Perform risk-based monitoring of financial promotions and marketing activities;
- Conduct compliance due diligence and ongoing monitoring on distributors;
- Oversee the implementation of the complaints handling process;
- Conduct regular monitoring and testing activities as foreseen by the Distribution     Compliance Programme;
- Liaise with and monitor other providers of distribution-related services and branches
- Provide advice and training to client-facing staff as needed;
- Develop and implement Compliance policies related to distribution;
- Identify and escalate distribution-related breaches;
- Develop compliance management information on distribution and prepare Board reports; 
- Represent Compliance in local or global projects (e.g. social media, digital or other projects concerning product distribution and marketing communication