Distribution Oversight Senior Manager

3 weeks ago

Dublin, Ireland Perpetual Limited Full time

Distribution Oversight Senior Manager - PISEL

Apply locations Dublin time type Full time posted on Posted 3 Days Ago job requisition id R7617

Prime Purpose of Role

The successful candidate will be primarily responsible for oversight of distribution activities in Perpetual Investment Services Europe Limited (PISEL) under its UCITS and MiFID top-up authorisations and in J O Hambro Capital management Limited (JOHCML). The candidate will be responsible for supporting the distribution strategy and activities of PISEL from a regulatory perspective. The candidate shall provide assistance to the Head of Compliance, PISEL and the local Branch Managers in overseeing activities in the PISEL branches.

In addition, the candidate will provide assistance to other members of the wider team in Ireland as well as the distribution teams across the global asset management division of Perpetual Group on distribution matters and other ad hoc projects.

The successful candidate will also support the Perpetual Group’s distribution and sales departments in driving forward key strategic objectives and participate proactively in wider Perpetual Group projects and initiatives.

Main Responsibilities

- Maintain and oversee an effective distribution oversight framework across UK and European based entities.

- Liaise with the persons responsible for distribution to ensure consistency between countries where a Fund is registered for offering and the domicile of the targeted investor sector.

- Help ensure that PISEL and JOHCML distribution activities comply at all times with relevant regulations in relation to distribution.

- Oversight of proposed changes to fund offering documentation, including fund prospectuses, UCITS KIDs, PRIIPs KIIDs and their onwards publication.

- Liaise with the person(s) performing the country registration work to gain assurance of compliance with local registration requirements.

- Liaise with the person(s) performing the country registration work to gain assurance that the local tax reporting requirements are fulfilled and that tax disclosure within the Prospectus is accurate and up-to-date.

- Collaborate with the broader Distribution, Product, Client Services, marketing and RFP teams in relation to the registration of UK and EU based funds in new jurisdictions, maintenance of registrations in existing jurisdictions and investor level tax reporting.

- Receive and review monthly and quarterly reports covering patterns of UK & EU distribution, sales flows in the period and current pipeline, any proposed new developments and initiatives, distribution strategies, including the jurisdictions into which the investment funds are marketed and investor complaints.

- Maintain and action a distribution monitoring programme for EU and UK distribution activities.

- Supervise and monitor EU and EAA passporting notifications.

- Responsible for monitoring upcoming distribution based regulatory changes and their impact on the UK and EU based entities and their clients; Lead on the implementation of required actions, in conjunction with the DP for Regulatory Compliance and other relevant regulatory changes.

- Identify areas of improvement in distribution oversight processes and documentation.

- Work closely with distribution leadership to improve distribution practices including process improvements, policy updates, governance practices and record keeping.

- Report to the relevant Committees and Boards on distribution activity and oversight and escalation of issues as required.

- Facilitate in client communication coordination tasks covering the preparation, time-line and monitoring of formal client communication letters relating to changes to funds.

- Involvement in product development including origination of target market as part of product design and ongoing review/oversight.

- Review distribution agreements, intermediary agreements and conduct KYD on both.

- Be responsible for reviewing Consumer Duty outcomes.

- Review rebates, discounts, MFNs, segregated mandates and IMAs.

- Provide training, advice and guidance to the distribution team.

Regulatory Responsibilities

- Conduct themselves in accordance with the regulatory requirements and obligations of the regulated entities, paying due regard to Central Bank of Ireland’s Individual Accountability Regime as well as any other required local regulatory approvals and/or codes of ethics.

- Ensure compliance with the obligations and responsibilities assigned to the Designated Person for Distribution as outlined in the Central Bank of Ireland’s Fund Management Company Guidance (PCF-39E).

- Fulfil and report on all areas of oversight associated with the role of Designated Person for Distribution.

Key Skills

- Extensive experience in a relevant funds-related distribution, controls, regulatory or compliance role in an asset manager, fund management company or fund services provider.

- Deep knowledge of UCITS product and experience in products and services distributed by MiFID entities.

- A very good appreciation of the UK, Irish and EU regulatory environments for asset managers, particularly UCITS and MiFID.

- Knowledge of international asset management industry including investor types, distribution channels, technical knowledge of product set.

- Knowledge of the requirements of distribution of segregated mandates in the EU and UK.

- Ideally experience with and understanding of multi-boutique corporate structure.

- Proven experience in producing good quality Board reporting within tight timescales.

- Numerate and proficient in the use of MS Office (especially Excel and Word).

- Ability to identify areas for improvement in processes/operations.

- Ambitious, collegiate and highly motivated individual with a strong work ethic.

- Innovative self-starting attitude to problem-solving.

- Willing to travel periodically.

Equal opportunities statement

At J O Hambro Capital Management (JOHCM), we are committed to fostering a workplace that embraces diversity, equity, and inclusion. We believe that every individual, regardless of their race, gender, sexual orientation, age, religion, disability, or any other characteristic, brings unique perspectives and strengths to our team. We are dedicated to providing equal opportunities for all qualified candidates and creating an environment where everyone feels valued, respected, and empowered to contribute their best work. We actively encourage applications from individuals with diverse backgrounds and experiences, as we strive to build a workforce that reflects the rich tapestry of our global community. Join us in our journey to cultivate an inclusive workplace where talent thrives and where everyone has an equal opportunity to excel and succeed.

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