Associate, Compliance

Job Title: Associate, Compliance

Contract Type: Permanent, full-time

Location: Warsaw

Department: Group Compliance 

What the Hiring Manager says…

'Join ICG, a global alternative asset manager with more than three decades of experience, and develop your career within the Marketing Compliance function, supporting international fund distribution. You will play an important role in bringing ICG’s investment strategies to market across Europe and Asia by managing fund registrations, advising on cross-border marketing requirements and coordinating with teams across Legal, Sales, Client Reporting, external counsel and senior governance bodies. The role offers broad exposure to global fund regulation, direct engagement with a wide range of stakeholders and the opportunity to become a trusted adviser to the business.'

Summary of our opportunity:

The Fund Registration team – which sits within the Marketing Compliance function-  enables ICG’s investment strategies to be marketed across multiple jurisdictions by managing registrations, maintaining accurate records and providing practical advice on cross-border distribution requirements. Based in Warsaw, the role has a broad geographic focus across Europe and Asia, including South Korea and Japan. You will take ownership of your work while collaborating with Fund Legal, Client Relations and Sales, external counsel and the relevant internal governance bodies.

Primary responsibilities for this role include (but are not limited to):

• Manage cross-border fund registrations and related filings for EU- and US-managed alternative investment funds across Europe and Asia, with particular exposure to South Korea and Japan.
• Analyse cross-border distribution and private placement rules and provide clear, practical guidance to the business on fund registration, licensing and available routes to market.
• Coordinate marketing and pre-marketing registrations with Fund Legal, Client Relations, external counsel, the AIFM Board and relevant Luxembourg governance forums.
• Assisting in performing and coordinating due diligence and ongoing oversight of distributors and other marketing counterparties, working with relevant internal stakeholders and governing bodies.
• Contribute to streamline and improve processes and controls across Fund Registration and Distribution Oversight.
• Maintain the Fund Marketing Registration Tracker, ensuring registration statuses and permitted marketing jurisdictions are complete, accurate and current.
• Assisting in monitoring regulatory developments affecting fund distribution and support the business in implementing required changes.
• Provide broader Marketing Compliance support as required.

Key requirements and qualifications

Essential

• Master’s Degree in Law, Business Administration, Economics or similar and/or  relevant experience in the financial services industry managing regulatory, compliance or similarly detailed projects and working effectively with internal and external stakeholders.
• The ability to analyse complex requirements and translate them into clear, practical guidance.
• Excellent command of professional English. Strong written and verbal communication skills, with good attention to detail.

Desirable

• Experience of fund registrations, regulatory filings or notifications relating to the cross-border marketing of investment funds
• Knowledge o AIFMD (marketing rules, passporting, NPPR), Cross-Border Distribution Directive (pre-marketing, denotification) and local regulator rules
• Experience working with external counsel and/or regulators on fund distribution matters.
• Knowledge of alternative investment funds and the regulatory framework for cross-border distribution.
• Experience conducting due diligence and/or ongoing oversight of distributors, placement agents or other fund distribution counterparties

Personal Attributes

Personal attributes that will help you succeed in this role include:

Essential

• Highly organised and able to manage multiple priorities while delivering accurate work to deadlines.
• Excellent stakeholder-management skills
• Proactive, accountable and comfortable taking ownership of work with limited supervision from line manager
• Collaborative and effective at building relationships across teams, seniority levels and locations.
• Curious, pragmatic and willing to develop expertise in new jurisdictions and regulatory topics.

Our Global Benefits Framework is centred around three key attributes:

• Wellbeing – Supporting your mental, physical and financial wellbeing, as well as your lifestyle needs.
• Inclusivity – Fit for purpose and competitive, no matter who or where you are.
• Longevity – Long term and sustainable in design.

Inclusion is one of ICG’s key values and we are committed to creating an equitable and inclusive workplace for everyone. By welcoming different perspectives, we strengthen ICG’s performance, enrich decision-making and contribute to better outcomes for our clients, colleagues, and the markets we serve. Accordingly, our recruitment processes provide equal employment opportunities to all applicants and employees, regardless of age, ethnicity, disability, sex, gender, sexual orientation, religion, or any other characteristic protected by local law.

We are equally committed to delivering an inclusive and accessible candidate experience. If you require information in an alternative format, additional time for assessments, an adjusted interview schedule, or any other support during the recruitment process, please let us know.