Distribution Oversight Officer
il y a 2 jours
FundRock is a Pan-European leading independent UCITS management company and AIFM (Alternative Investment Fund Manager). Our clients are established blue-chip companies and leaders in their domestic market.
We invest in our people, enabling you to develop your skills and build on your experience.
If you like the idea of working for an ambitious and growing company, as part of a multicultural team, we are the place for you.
The Distribution & Marketing Oversight and Fund Passporting Officer is responsible for ensuring that FRMC and its delegates comply with all applicable regulatory requirements governing the marketing and distribution of UCITS and AIFs. The role also supports clients with fund registration, cross‑border distribution, and the interpretation of local marketing rules.
Key Responsibilities
Regulatory Oversight & Monitoring
- Oversee distributors to whom FRMC has delegated distribution activities, ensuring compliance with relevant laws, regulations, and internal policies.
- Monitor the fund marketing plan and the broader distribution network of UCITS and AIFs under management.
- Conduct initial and ongoing due diligence on distributors, including risk assessments, detailed analysis of findings, and issuance of due diligence reports.
- Perform on‑site due diligence visits where required, documenting outcomes and recommendations.
- Review counterpart documentation, including prospectuses, policies and procedures, due diligence reports, service level agreements, and other contractual arrangements.
- Follow up on identified issues and escalate to Management as appropriate
Fund Registration & Passporting
- Manage the end‑to‑end fund registration process for both UCITS and AIFs across relevant jurisdictions.
- Liaise with regulatory authorities, legal advisors, clients, and third‑party service providers as needed to ensure timely and compliant fund registrations.
- Ensure adherence to regulatory deadlines, procedural requirements, and internal governance standards.
- Maintain internal databases related to distribution, registration, and regulatory notifications.
- Conduct ongoing monitoring of EU and non‑EU notification procedures, ensuring they reflect current regulatory developments.
Reporting & Governance
- Prepare board reporting, including key performance indicators and distribution‑related updates, within agreed deadlines.
- Contribute to regular management reports, assist in breach identification, and ensure appropriate escalation and documentation.
- Support Conducting Officers in meeting governance obligations through regular reporting and oversight updates.
Client & Delegate Interaction
- Maintain effective communication with distributors, FRMC delegates, and other third‑party service providers.
- Provide clients with guidance on distribution‑related matters, including local marketing rules and fund passporting requirements.
- Assist in the implementation of new or enhanced distribution services, including market analysis, provider assessments, and review of agreements.
- Ensure consistent, accurate, and timely delivery of services to both internal stakeholders and clients.
Requirements
Professional Experience
- 3–5 years of experience in the fund industry, ideally in distribution oversight, regulatory functions, or related areas such as legal, compliance, or transfer agency.
- Prior experience within a Management Company or a Big 4 audit firm is considered an advantage.
Education & Skills
- Bachelor's degree (or equivalent) in Economics, Law, Finance, or related field.
Strong understanding of the regulatory framework applicable to fund distribution, including:
CSSF 18/698
- ALFI guidelines
- MiFID II product governance and investor classification
- AML/KYC regulations
- CBDF Regulation (EU) 2019/1156
UK OFR regime
High level of accuracy, strong analytical skills, and ability to assess operational and regulatory risks.
- Excellent communication skills in English; fluency in German is required.
- Strong organisational skills with the ability to manage multiple tasks and meet deadlines.
- Proactive, solution‑oriented team player with strong commercial awareness.
- Proficient in Microsoft Office applications (Excel, Word, PowerPoint).
As a vital team member and in return for your expertise, inclusive approach and commitment, we'll provide a favourable salary and the chance to join a passionate and welcoming team. Benefits As a truly global business, we tailor benefits to each location to safeguard our people and respect local cultures and ways of working. Our people are our greatest asset, and we invest in talent development. Join our global network, and you will benefit from education support, sponsorship and in-house training programs.
Disclaimer: Unsolicited CVs sent to Apex (Talent Acquisition Team or Hiring Managers) by recruitment agencies will not be accepted for this position. Apex operates a direct sourcing model and where agency assistance is required, the Talent Acquisition team will engage directly with our exclusive recruitment partners.
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