Senior Compliance Officer - eFinancialCareers : Job Details

The Value of Active Minds About JupiterJupiter is one of the UK's leading investment management companies with over 500 employees and £51.3 billion worth of assets under management (as at 30th June 2024). Jupiter provides investment services to individual and institutional investors through mutual funds (UK unit trusts, Luxembourg SICAVs and Dublin OEICs), separately managed accounts and sub-advised funds. Jupiter has experienced a period of international growth with offices open in EMEA and APAC. The majority of our employees are based in our London office located just minutes from Victoria station which provides stair-free access from both the Underground's Victoria line and National Rail platforms, as well as limited road crossings to the Jupiter office. Our London office was designed to encourage employees to live active, healthy lives with floor-to-ceiling windows that allow for greater natural light and the benefit of a private balcony, table tennis room, cycle storage and on-site shower and locker facilities. The short distance to Green Park and St James' Park also provides employees with a natural space to relax during their lunch break and a healthy alternative to office-based meetings. We offer our UK employees a 3:2 hybrid working arrangement where Tuesdays, Thursdays and a third day of your choice are worked from the office. The other two days may be worked from home. This facilitates collaboration and allows employees to maximise productivity whilst maintaining a healthy work/life balance. BackgroundThis is a key role within Compliance, providing support and advice to the Client Group to ensure that all marketing and distribution activities meet regulatory standards. The role will also involve providing compliance approval for marketing materials and supporting regulatory change that impacts distribution and marketing activities. Key Responsibilities

• Review advertising and marketing communications for Jupiter's range of funds (including UTs, SICAVs, Irish ICVCs and Investment Trusts, and segregated mandates) ensuring compliance with local regulatory requirements and general Consumer Duty principles. Documentation includes:
  • Marketing and advertising literature (adverts, factsheets, sales aids, brochures, presentations) targeting both retail and institutional audiences in the UK and multiple overseas jurisdictions including UK EMEA, Latam, Australia and US.
  • Fund documentation, including prospectuses, KIIDs and Report & Accounts
  • Social Media Posts
  • Group websites
  • Press releases
• Provide constructive and accurate feedback following review of documentation ensuring that required amendments are made.
• Maintain an up-to-date knowledge of relevant regulatory changes and the impact these may have on promotional activity and materials and support the business implementation of such changes.
• Maintain and update Compliance-owned guidance and training materials. Review or provide input into business-owned procedures and processes.
• Provide assistance and mentoring to other members of the Compliance team.
• Maintain close working relationships with the Client Group and other stakeholders, offering pro-active, accurate and timely advice and support.
• Investigating acceptable sales and marketing practices in new jurisdictions.

Desired Skills / Experience

• 5 + years' experience from a similar role in asset management.
• Knowledge of European and UK fund structures (UCITS, AIFs etc)
• Knowledge of the UK and European regulatory framework, in particular the FCA and ESMA rules, or similar relevant experience with marketing and cross-border distribution rules. Knowledge of US marketing rules would be beneficial.
• Understanding of the FCA Handbook, UCITS, MiFID II, AIFMD and SFDR requirements
• Experience of developing constructive relationships in order to meet objectives.
• European language skills (useful but not essential).
• Attention to detail with the ability to apply compliance knowledge in the assessment of accuracy and suitability of documentation.
• Ability to act diplomatically and use initiative.
• Solutions oriented approach to work and ability to compromise.
• A team player.
• Ability to manage expectations.
• Good communication skills.
• Ability to assimilate issues and recommend appropriate corrective action.
• Ability to raise and communicate complex issues accurately and succinctly to staff at all levels.
• Self-motivated and able to work without close supervision.
• Effective time management skills & ability to deliver in accordance with strict timetables.
• Ability to develop and maintain good working relationships with colleagues and contacts within other business areas.
• High standard of record keeping.
• Experience of taking the initiative to solve problems and also of working as a team to meet common objectives.

Additional Role Details

• This role is subject to the Conduct Rules set by the FCA.

Don't meet every requirement? At Jupiter we are dedicated to building a diverse and inclusive workplace, so if you are interested in this role, but don't think your experience aligns perfectly with every listed requirement in the job description, we would encourage you to apply. You may be the right person for this role.