At a Glance
- Tasks: Lead compliance for marketing and distribution across EMEA, advising on regulations and sales practices.
- Company: Wellington Management, a leading investment management firm with a collaborative culture.
- Benefits: Competitive salary, flexible work arrangements, and opportunities for professional growth.
- Other info: Diverse workplace committed to equal opportunity and professional development.
- Why this job: Join a dynamic team and influence compliance strategies in a global investment environment.
- Qualifications: 6+ years in financial services, fluent in English and German, strong communication skills.
The predicted salary is between 60000 - 80000 £ per year.
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.
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.
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 privates investing business for marking 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.
The critical qualifications for the role include:
- 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 German and English languages a must; Italian language skills a plus.
- Strong academic background, including university degree.
Not sure you meet 100% of our qualifications? That's ok. If you believe that you could excel in this role, we encourage you to apply and welcome a chance to review your background. We are dedicated to building and maintaining a diversified workforce and considering a broad array of candidates with a variety of skill, workplace experiences, and backgrounds.
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.
If you are a candidate with a disability, or are assisting a candidate with a disability, and require an accommodation to apply for one of our jobs, please email us at GMWTalentOperations@wellington.com.
We believe that in person interactions inspire and energize our community and are essential to our culture. In support of this commitment, our employees work from our offices 4 days a week with flexibility to work remotely 1 day a week. We believe that this approach ultimately supports our mission to deliver investment excellence to our clients and their beneficiaries over the long term.
Compliance Officer, EMEA Wealth (Frankfurt or London) - Wellington Management Company, LLP employer: Wellington Management Company, LLP
Wellington Management is an exceptional employer, offering a collaborative culture that values independent thought and encourages professional growth. With offices in both Frankfurt and London, employees benefit from a dynamic work environment that promotes flexibility, allowing for a balanced approach to work and life. The firm is committed to diversity and inclusion, providing equal opportunities for all, while fostering a long-term perspective that aligns with the interests of its clients and employees alike.
Contact Details:
Wellington Management Company, LLP Recruitment Team
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Officer, EMEA Wealth (Frankfurt or London) - Wellington Management Company, LLP
✨Tip Number 1
Network like a pro! Reach out to current or former employees at Wellington Management on LinkedIn. A friendly chat can give you insider info and maybe even a referral.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of EMEA regulations and compliance practices. Show us you know your stuff and can hit the ground running!
✨Tip Number 3
Practice your pitch! Be ready to explain how your experience aligns with the role. We want to hear how you can contribute to our marketing and distribution compliance function.
✨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, we love seeing candidates who take that extra step.
We think you need these skills to ace Compliance Officer, EMEA Wealth (Frankfurt or London) - Wellington Management Company, LLP
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your relevant experience in compliance and marketing. We want to see how your skills align with the specific requirements of the Compliance Officer role.
Showcase Your Communication Skills:Since this role involves liaising with senior leaders and sales teams, it's crucial to demonstrate your ability to communicate effectively. Use clear examples in your application that showcase your influencing skills and how you've navigated complex regulatory environments.
Highlight Your Regulatory Knowledge:We’re looking for someone who understands the ins and outs of fund distribution regulations across EMEA. Make sure to mention any relevant experience you have with UCITS, AIFs, or other compliance frameworks in your application.
Apply Through Our Website:Don’t forget to submit your application through our website! It’s the best way for us to receive your details and ensures you’re considered for the role. Plus, it shows you’re keen on joining 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 regulations and compliance practices relevant to fund distribution in the EMEA region. Being able to discuss specific examples of how you've navigated complex compliance issues will show that you're not just familiar with the rules, but that you can apply them effectively.
✨Showcase Your Leadership Skills
Even if you haven't held a formal leadership position, think about times when you've influenced others or led projects. Be ready to share these experiences, especially how you’ve collaborated with marketing and sales teams to ensure compliance while driving business goals.
✨Fluency is Key
Since fluency in both English and German is a must, practice discussing compliance topics in both languages. This will not only help you feel more confident but also demonstrate your ability to communicate effectively with diverse teams across the EMEA region.
✨Prepare for Scenario Questions
Expect to be asked how you would handle specific compliance scenarios. Think through potential challenges related to marketing content or cross-border regulations and prepare your responses. This will show that you can think critically and act decisively under pressure.
