Job Purpose:

  • Provide compliance advisory services to the ETP business.

Your Responsibilities:

  • Compliance Advisory – Product Products: Exchange-Traded Funds (ETFs), Exchange-Traded Commodities (ETCs), Exchange-Traded Notes (ETNs): ETP Product: Design & Development
  • Support the ETP business with new products launches and changes to existing products (benchmark/index changes, funds fee or objectives changes, liquidations, new share classes)
  • In particular, review Business Cases and product specs and liaise with other functional Compliance teams as necessary (Marketing Compliance, Financial Crime, Investments Compliance, Ireland Compliance) to provide compliance inputo
  • Verify compliance with relevant regulations and rules in the fund domicile including UCITS, Prospectus Directive, Benchmark Regulation and index self-certification requirementso Review funds legal offer documentation and related shareholder communications
  • Distribution and Marketing Compliance
  • Together with the relevant Compliance function, advise on distribution and marketing compliance matters such as: country/product specific marketing and distribution requirements (public offer, private placement, etc) target market (EMT) and distribution channels
  • Compliance Advisory – Product Governance
  • Attend committee meetings and oversee adherence to product governance policy
  • Provide advice and support re governance policies such as Distribution Oversight policy
  • Support EMEA entity/fund board governance and reporting processes
  • Participate in review and maintenance of documentation, eg KIIDS, prospectus
  • Advise the ETP business on regulatory compliance laws, rules and standards
  • Identify and assess impact of regulatory change, inputting to consultations and inter-regional interaction and involvement in industry working groups
  • Provide or input to regular and needs-based training sessions in particular in regard to changes in the law, newly issued guidelines, or other amendments to regulatory requirements, as well as changes to the business
  • Input to written guidance for staff on implementing compliance laws, rules and standards through policies and procedures, and other documents such as compliance manuals, internal codes of conduct and practice guidelines
  • Foster awareness of a good compliance culture and effective conflicts of interest management and fair treatment of customers
  • Pro-actively identifying and assessing the compliance risks associated with the ETP business, including development of new products and business practices, new types of business or customer relationships, or material changes.Identifying and assessing impact of regulatory change, inputting to consultations and inter-regional interaction and involvement in industry working groups
  • Provide support at the direction of, and report to Ireland Compliance, IIML Head of Compliance (PCF15) and Designated Persons for IIML on compliance matters re the ETFs
  • Provide support to the Director of UK Compliance (CF10) on regulatory interaction and management of UK regulatory matters
  • Liaise with, and support, other members of the EMEA Compliance Team and EMEA Compliance senior managementEnsure all activities are in line with Invesco’s Conduct principles.

Skills and Qualifications:

  • Substantial experience in Compliance, within asset management or financial services, preferably within in the EU regulatory framework
  • Experience of asset management distribution in the EU, including distribution channels and productsA good understanding of regulation of funds particularly EU-derived regulations
  • A good understanding of the technical nature of the businessSkills
  • Strong interpersonal and relationship management skills to be able to work effectively with a network of colleaguesStrong written and oral communication skills
  • Ability to liaise effectively at all levels, internally and externally including senior management and investment professionals
  • Organised, with effective time management skills and ability to prioritise
  • Self-motivated
  • Ability to work under pressure
  • Excellent team player
  • A professional qualification is desirable but not essential.

Source: for more information click here.

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