At a Glance
- Tasks: Lead compliance for marketing and distribution across EMEA, advising on regulations and sales practices.
- Company: Wellington Management, a global investment management firm with a collaborative culture.
- Benefits: Competitive salary, comprehensive benefits, flexible work arrangements, and professional development opportunities.
- Other info: Opportunity to work in Frankfurt or London with excellent career growth potential.
- Why this job: Join a dynamic team and influence compliance strategies in a leading investment firm.
- Qualifications: 6+ years in financial services, strong communication skills, and fluency in English; German preferred.
The predicted salary is between 60000 - 130000 £ per year.
About Us
Wellington Management offers comprehensive investment management capabilities that span nearly all segments of the global capital markets. Our investment solutions, tailored to the unique return and risk objectives of institutional clients in more than 60 countries, draw on a robust body of proprietary research and a collaborative culture that encourages independent thought and healthy debate. As a private partnership, we believe our ownership structure fosters a long‑term view that aligns our perspectives with those of our clients.
About the Role
The Position
We are currently seeking an experienced compliance professional to lead our marketing and distribution compliance function across the EMEA region, focusing on cross‑border fund distribution activities, sales practices advisory and oversight of marketing content compliance. This role will work closely with our EMEA Marketing and Wealth sales teams across the UK, EU and Middle East, advising on sales practices, monitoring cross‑border regulations across EMEA, updating relevant policies, procedures and guidance, and approving German language marketing content. While focused on the EMEA region, this role will work closely with marketing compliance colleagues in APAC and Americas. The role can be based in our Frankfurt or London offices; fluency in both English and German is required.
Primary Responsibilities
- Serve as the Team Lead for the EMEA Marketing & Sales Compliance Team, including setting function's strategic focus, defining priorities, allocating responsibilities across team members and taking accountability for execution and delivery.
- Serve as a strategic thought partner to senior business leaders in the EMEA Marketing and Wealth sales teams.
- Provide day to day advice to the EMEA region marketing and sales teams on fund distribution requirements across the EMEA region for both UCITS and AIFs (Luxembourg & Cayman).
- Serve as the lead liaison for the U.S. based private investing business for marketing and distribution of private equity, credit and evergreen funds in the EMEA region.
- Identify, assess and communicate regulatory developments relating to financial promotions and the marketing & distribution of funds in the region.
- Review and improve workflows and processes for marketing content reviews, leveraging technology and third‑party service providers, to create scale while also addressing local market needs.
- Improve and develop new tools and approaches to efficiently deliver country and product specific sales and marketing information and advice to business teams, leveraging AI and technology as appropriate.
- Develop and execute a compliance training strategy for sales and marketing teams in the region.
- Represent the firm in industry forums relating to fund marketing and distribution in the region.
- Provide advice and support to the Compliance Officer of our German affiliate, Wellington Management Europe GmbH (WME), on relevant German and EU regulations.
Critical Qualifications
- At least six (6) years of relevant experience at investment management and/or financial services firms, with at least three (3) years' experience with fund‑related marketing materials and/or fund distribution.
- Ability to effectively communicate with senior leadership and sales and marketing teams, influencing outcomes and mitigating regulatory risk.
- Demonstrated career progression and commitment to professional development.
- Demonstrated ability to lead and influence without authority; experience as a people manager preferred, but not essential.
- Commercial and growth mindset, geared at finding solutions that balance business and regulatory needs; comfort with making risk‑based decisions.
- Ability to work under pressure, both independently and as part of a team.
- Fluency in English a must; German language skills preferred.
- Strong academic background, including university degree.
Base salary range for this position: EUR 60,000-130,000. This range is an estimate; further details on salary and total compensation will be shared with candidates during the recruitment process.
As an equal opportunity employer, Wellington Management ensures that all qualified applicants will receive equal consideration for employment without regard to race, color, sex, sexual orientation, gender identity, gender expression, religion, creed, national origin, age, ancestry, disability (physical or mental), medical condition, citizenship, marital status, pregnancy, veteran or military status, genetic information or any other characteristic protected by applicable law.
We offer a comprehensive and high‑value benefit package, including retirement plan, health and wellbeing, dental, vision, and pharmacy coverage, health savings account, flexible spending accounts and commuter program, employee assistance program, life and disability insurance, adoption assistance, back‑up childcare, tuition/CFA reimbursement and paid time off (leave of absence, paid holidays, volunteer, sick and vacation time). Our flexible work arrangement allows employees to work from our offices four days a week with flexibility to work remotely one day a week.
Compliance Officer, EMEA Wealth (Frankfurt or London) employer: CFA Institute
Wellington Management is an exceptional employer that fosters a collaborative culture and prioritises employee growth, making it an ideal place for compliance professionals. With offices in both Frankfurt and London, we offer a comprehensive benefits package, including flexible work arrangements and extensive professional development opportunities, ensuring our team members thrive in their careers while contributing to meaningful investment solutions across the EMEA region.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer, EMEA Wealth (Frankfurt or London)
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like CFA Institute looking for candidates who are engaged and informed.
We think you need these skills to ace Compliance Officer, EMEA Wealth (Frankfurt or London)
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at CFA Institute. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at CFA Institute
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with CFA Institute’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
