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- Tasks: Lead compliance for marketing and distribution across EMEA, advising on regulations and content.
- Company: Wellington Management, a global investment management firm with a collaborative culture.
- Benefits: Competitive salary, diverse work environment, and opportunities for professional growth.
- Other info: Work in Frankfurt or London with a focus on cross-border fund distribution.
- Why this job: Join a dynamic team and make an impact in the investment management industry.
- Qualifications: Experience in compliance, fluency in English and German, and strong advisory skills.
The predicted salary is between 60000 - 80000 £ 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. This role can be based in our Frankfurt or London offices, however, fluency in both English and German is required.
Primary responsibilities will include:
- 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 compliance team.
Compliance Officer, EMEA Wealth (Frankfurt or London) | London, UK employer: Wellington Management Company, LLP
Contact Detail:
Wellington Management Company, LLP Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer, EMEA Wealth (Frankfurt or London) | London, UK
✨Tip Number 1
Network like a pro! Reach out to current employees at Wellington Management on LinkedIn. A friendly chat can give you insider info and might just get your foot in the door.
✨Tip Number 2
Prepare for the interview by knowing your stuff! Research the latest trends in compliance and fund distribution in the EMEA region. Show them you’re not just another candidate, but someone who’s genuinely interested in their work.
✨Tip Number 3
Practice makes perfect! Do mock interviews with friends or use online platforms. Get comfortable talking about your experience and how it relates to the role of Compliance Officer.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re serious about joining the team!
We think you need these skills to ace Compliance Officer, EMEA Wealth (Frankfurt or London) | London, UK
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Compliance Officer role. Highlight relevant experience in compliance, especially in marketing and distribution across EMEA. We want to see how your skills align with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Don’t forget to mention your fluency in English and German!
Showcase Your Strategic Thinking: In your application, demonstrate your ability to think strategically. We’re looking for someone who can lead and advise on compliance matters, so share examples of how you've done this in previous roles.
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It’s the best way for us to receive your application and ensures you don’t miss any important updates from our team!
How to prepare for a job interview at Wellington Management Company, LLP
✨Know Your Compliance Stuff
Make sure you brush up on the latest compliance regulations, especially those relevant to EMEA. Familiarise yourself with UCITS and AIFs, as well as cross-border fund distribution practices. This will show that you're not just a candidate, but someone who understands the intricacies of the role.
✨Showcase Your Leadership Skills
As a potential Team Lead, it's crucial to demonstrate your leadership abilities. Prepare examples of how you've successfully managed teams or projects in the past. Highlight your strategic thinking and how you've set priorities to achieve compliance goals.
✨Be Ready for Scenario Questions
Expect questions that put you in real-world compliance scenarios. Think about how you would advise marketing and sales teams on compliance issues. Practising these scenarios can help you articulate your thought process clearly during the interview.
✨Fluency is Key
Since fluency in both English and German is required, be prepared to demonstrate your language skills. You might be asked to discuss compliance topics in German, so practice articulating your thoughts in both languages to ensure you're comfortable during the interview.