At a Glance
- Tasks: Lead marketing compliance for fund distribution across EMEA, advising teams and ensuring regulatory adherence.
- Company: Wellington Management, a global leader in investment management with a collaborative culture.
- Benefits: Competitive salary, professional development, and a diverse work environment.
- Other info: Fluency in English and German required; excellent career progression opportunities.
- Why this job: Join a dynamic team and shape the future of fund marketing compliance in a global context.
- Qualifications: 3-5 years in investment management, strong communication skills, and a growth mindset.
The predicted salary is between 70000 - 90000 £ 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
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.
Responsibilities
- Serve as the Team Lead for the EMEA Marketing & Sales Compliance Team, including setting the 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.
Qualifications
- 3 – 5 years of relevant experience at investment management and/or financial services firms, with at least 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.
- Strong academic background, including university degree.
Equal Opportunity Employer
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.
EMEA Marketing Compliance Lead — Funds Distribution employer: Wellington Management
Wellington Management is an exceptional employer that fosters a collaborative culture and prioritises employee growth, making it an ideal place for professionals seeking meaningful careers in investment management. With offices in Frankfurt and London, employees benefit from a dynamic work environment that encourages independent thought and innovation, while also offering comprehensive training and development opportunities to enhance their skills in compliance and marketing within the EMEA region.
StudySmarter Expert Advice🤫
We think this is how you could land EMEA Marketing Compliance Lead — Funds Distribution
✨Tip Number 1
Network like a pro! Reach out to folks in your industry on LinkedIn or at events. A friendly chat can lead to opportunities that aren’t even advertised yet.
✨Tip Number 2
Prepare for interviews by researching the company and its culture. We want to see you shine, so practice common questions and have your own ready to show your interest!
✨Tip Number 3
Follow up after interviews with a thank-you note. It’s a simple gesture that shows your appreciation and keeps you fresh in their minds. Plus, it’s a great chance to reiterate your enthusiasm!
✨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. We’re excited to see what you bring to the table!
We think you need these skills to ace EMEA Marketing Compliance Lead — Funds Distribution
Some tips for your application 🫡
Tailor Your Application:Make sure to customise your CV and cover letter to highlight your experience in marketing compliance, especially in the EMEA region. We want to see how your skills align with our needs, so don’t hold back on showcasing relevant achievements!
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 show how you've influenced outcomes or mitigated risks in previous roles.
Highlight Your Regulatory Knowledge:We’re looking for someone who understands the ins and outs of fund distribution regulations. Make sure to mention any specific regulations you’ve worked with, particularly those relevant to the EMEA region, to show us you’re up to speed.
Apply Through Our Website:We encourage you to submit your application through our website. It’s the best way for us to receive your details directly and ensures you’re considered for the role. Plus, it’s super easy to do!
How to prepare for a job interview at Wellington Management
✨Know Your Compliance Stuff
Make sure you brush up on the latest regulations regarding fund distribution in the EMEA region. Familiarise yourself with UCITS and AIFs, as well as any recent changes in marketing compliance. This will show that you're not just knowledgeable but also proactive about staying updated.
✨Showcase Your Leadership Skills
Since this role involves leading a team, be prepared to discuss your leadership style and experiences. Think of examples where you've influenced outcomes or improved processes without direct authority. Highlighting your ability to lead and inspire will resonate well with the interviewers.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical situations related to compliance challenges. Practice articulating how you would handle specific scenarios, especially those involving cross-border regulations or marketing content reviews. This will demonstrate your critical thinking and problem-solving skills.
✨Communicate Effectively
Since you'll be liaising with senior leaders and various teams, practice clear and concise communication. Be ready to explain complex compliance concepts in simple terms. This will showcase your ability to bridge the gap between compliance and business needs, which is crucial for this role.
