Our client, an investment management group, is seeking a Senior Distribution Compliance Manager, to join their London team
This role sits within the Distribution Compliance team and will provide oversight and advice on national and cross-border Marketing and Distribution activities.
Key responsibilities for this position will include, but are not limited to:
Advise on cross-border marketing and sales of fund, including financial promotions
Advise on Product Governance and oversight
Support for the Head of Distribution Compliance
Delivery and development of distribution compliance matters for the wider business
Identify regulatory updates in relation to Sales, Distribution and Compliance
Proven relevant experience within investment management
Strong knowledge of UCITS, AIFMD and MiFID, with a focus on Marketing and Product Governance
Comfortable guiding junior members of the team
Ability to liaise with stakeholders and senior members of staff
For more information about this position, please get in touch with Jack Merriott.
Phone: 020 3778 0846
Rutherford is a boutique search firm located in London. Our consultants are the executive specialists in compliance, financial crime, legal and cyber security recruitment, all within the financial and professional services sectors in the United Kingdom and New York. We use our carefully curated relationships, networks and market knowledge to find the best fit for the clients in hand. We work with a wide range of clients, spanning from advisors, management consultants, corporate and commercial banks, brokers, exchanges, MTFs and financial tech, through to global investment managers, hedge funds, private equity firms, investment banks and technology firms. We began as a compliance recruitment firm in London and expanded to offer new resourcing expertise across legal and cyber recruitment. We have been a leading legal and compliance search agency in London for a decade and are excited about bringing our expanded offering into the technology area.