Distribution and Marketing Documentation Oversight Officer


Role: Distribution and Marketing Documentation Oversight Officer
Location: Hesperange (Luxembourg)

Department: Distribution and Oversight

Employment Type: Permanent

FundRock Management Company S.A. (“FRMC”) as part of Apex Group is a leading independent third-party Fund Management Company providing management company services to Luxembourg, Ireland and UK domiciled collective investment schemes in accordance with the respective regulations. FRMC provides substance through solid Risk management, Oversight, Compliance, as well as through the comprehensive Knowledge of its strong team. The company´s multinational team is well placed to support asset managers across borders with local market insight and global connectivity.

We are currently looking for a Distribution and Marketing Documentation Oversight Officer to support our growing operations.

Purpose of this Role:

  • To support in the oversight of distribution and marketing functions delegated to distributors by FundRock
  • To review fund documentation and marketing communications and ensuring compliance with applicable laws and regulations
  • To support the FRMC Distribution team to deliver distribution support services to clients (e.g. distributor due diligence)
  • To provide the clients with support in understanding the applicable local marketing rules and requirements
  • To support the FundRock Distribution Oversight Teams in delivering distribution support services to clients

Job Specification

  • Ensure the adherence of FundRock and its delegates to applicable laws, rules and regulations governing Marketing and Distribution activities – through oversight of the marketing plan and the distribution network/channels of the managed UCITS and AIFs
  • To contribute to the FundRock distribution oversight team in its provision of oversight and marketing materials review activities (reviewing and commenting on marketing materials, drafting prospectus addendums, drafting pre-marketing notifications letters, filing with the regulators…)
  • Review documentation such as marketing communications (e.g. factsheets), prospectus, KIIDs, delegates’ policies and procedures, monitoring of Service Level Agreements with the distributors (and other 3rd party distribution partners)
  • Follow-up on any issues identified and escalate to Management, where required
  • Manage services and tasks around marketing documentation for clients both UCITS and AIFs
  • Manage fund registration and distribution service for clients both UCITS and AIFs
  • Liaise with regulators, lawyers, clients and third-party service providers, where required
  • Establish communication with clients and provide proactive assistance and advice on marketing documentation related issues
  • Ensure consistent, correct and timely delivery of services internally and externally
  • Perform Initial and Ongoing Due Diligence on the Distributors. Identify, assess operational risks and highlight findings/ recommendations (where relevant) in your due diligence report
  • Perform Initial and Ongoing Due Diligence on the Distributors via on-site visits, where required
  • Deliver distribution and marketing support services, such as market research and analyses, documentation review etc
  • Deal with the administrative modalities around marketing documentation, being compliant with the regulations such as EU Cross-Border Distribution Directive/Regulation and ESMA guidelines on marketing communications, ensuring high level of accuracy and respecting procedures as well as deadlines
  • Contribute to regular reports, maintain documentation, identify potential breaches and escalate, where required
  • Stay up to date with best practices and industry trends impacting distribution and marketing
  • Prepare and produce internal dashboards on oversight activities
  • Actively contribute to new projects and products from a distribution and marketing perspective
  • You graduated in Law or similar qualifications, with at least 3 to 5 years of experience in the fund industry and oversight roles, ideally in fund distribution (additional exposure to legal, compliance, TA functions, or fund registration would be an advantage)
  • You are fluent in English with excellent written and oral communication skills, fluency in a second European language such as German or French would be an asset
  • You have experience regarding fund prospectus review and/or fund factsheet production and review
  • Good knowledge of Luxembourg law and practice and the European financial services industry, particularly in relation to asset management and funds matters
  • You demonstrate a good understanding of the investment fund industry, oversight requirements (as set forth in CSSF 18/698 and various ALFI guidelines), marketing and distribution of investment funds, KYC/AML related regulations
  • You are very organized and detail focused, able to multi-task
  • You are keen to further develop your practical knowledge of laws and regulations applicable to financial services, both within Luxembourg and other jurisdictions
  • Ability to communicate with the senior management internally and externally
  • Previous experience in a Management Company/or Big 4 audit firm is an advantage

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit our CSR page.

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter, availability and salary’s expectations) to our dedicated email address: jobs@lri-group.lu 


Posting date: 24/11/2022
PID: 12415

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