Compliance Distribution Analyst - Risk & Compliance - London

Aviva Investors
22 Jul 2017
14 Aug 2017
Contract Type
Aviva Investors are currently looking for a permanent Compliance Distribution Analyst to work in our Head Office in the City of London. The Role You will assist the Compliance Manager - Distribution on matters relating to distribution and marketing (including Compliance input on and approval of financial promotions), and advisory and technical support on other relevant EMEA and global regulatory requirements, authorisations and permissions and related matters. You will enable Sales and Marketing activities to take place in various global locations, you will approve marketing material to be used by institutional and retail clients and will ensure that AI has world class systems and controls. Responsibilities Provide pro-active consultative guidance and advice relating to regulatory issues regarding marketing and distribution. Provide support and guidance to various business areas regarding the legal and regulatory requirements of product distribution. Responsible for day-to-day regulatory input on marketing materials in EMEA, including approval of marketing material. Advising on European and international marketing cross border rules (registration, private placement and distribution) Provide training to applicable Aviva Investors staff as and when required relating to on-going expected standards relating to EMEA distribution, marketing and financial promotions Provide advice and support as required to other relevant EMEA and global regulatory requirements across a wide range of compliance subject matter. Dimensions: Products - Responsibilities include Luxembourg and Irish UCITS, EU/Non EU AIF, OEIC and NURS and segregated portfolios. Maintain good working relationships with relevant Business Teams, Global Heads of Compliance, Legal, Risk, Senior Compliance & Risk Managers as well as retail Compliance and Legal staff. Retain on-going knowledge of regulatory changes and standards in respect to FinProm and distribution standards Accountabilities Responsible for day-to-day regulatory input on marketing materials in EMEA including reviewing and approving content, helping to oversee the self-certification programme, and provision of MI. Help advise on European and international marketing cross border rules including product/ passport registrations and private placement. Provide solution focused and business enabling advice and guidance to Aviva Investors staff, in respect of EU and international marketing regulations. Contribute to Distributor oversight processes. Work closely with other departments responsible for structuring new products and provide support and guidance regarding new product launches and applicable regulations. Write or contribute towards Compliance reports and recommend procedural improvements as appropriate Provide guidance and support regarding the implementation and/or enhancement of procedures and controls as necessary Provide regulatory guidance to Business Development teams Provision of day-to-day compliance advice across Business Development Requirements Essential: Degree or equivalent level of industry and technical experience. Financial promotion compliance experience covering UK or European collective investment schemes acquired ideally in an asset management firm Experience of working to tight deadlines with high level of attention to detail Significant involvement with statutory and regulatory issues affecting regulated business Agility to develop, implement and learn about new systems and ways of working, including internal record keeping and workflow tools and mediums of marketing distribution Expert knowledge of UK and European marketing, distribution and financial promotion rules and advertising standards Knowledge of Compliance leading practice within the asset management industry relating to conduct of business requirements, conduct risks and controls Microsoft Office Suite skills (Word, Excel, PowerPoint, Outlook) Ability to work under pressure and meet tight deadlines Attention to detail Excellent verbal and written communicator with good skills in developing relationships and working with staff at all levels Highly Desirable: Legal or formal compliance qualification desirable Some understanding of EU cross border distribution requirements. Overall good understanding of FCA regulations, especially COBS and FUND Strong planning, analysis and monitoring skills About Us Aviva Investors are proud to be a different kind of asset manager; our intelligent solutions are based entirely around our Clients objectives, not ours. Whether our clients are looking for a standard product or something completely bespoke, they can access world-class expertise. Our aim is to retain business with named clients by providing a high level of service. You will be assessed against the Aviva values: care more, kill complexity, never rest and create legacy.

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