Compliance Manager UCITS & US Mutual Funds
Compliance Manager UCITS & US Mutual Funds
Direct message the job poster from Austin Andrew
Reporting to the Head of Compliance UK, the Compliance Manager would sit in the Compliance Team and oversee the activities
- Managing Software
- Line Manager of the Compliance Analyst
- Daily trade, best execution and liquidity monitoring completed by the Analyst
- Dedicated compliance monitoring programme
- Breach monitoring, maintaining breaches records and reporting to ACD/other relevant counterparties
- Liaise with US regulatory consultants and oversee periodic US regulatory reporting
- Review financial promotions, marketing and client communications
- Produce risk and compliance reports for the managed funds (OEIC, SICAV, NURS, RIC, Managed Investment Scheme) including agreeing mitigating controls and escalating other risks
- Work with Chief Risk Officer to consider current and emerging high risk and high-profile activities
- Conduct due diligence on ACD and other third-party providers
- Working with the team to design, implement and periodic review of policies and procedures
- Lead meetings and working groups as a representative of Compliance
- Work with wider Compliance Team to advise on and implement regulatory change
- Compliance Lead on related projects such as corporate acquisitions and integration of software, systems and service providers
- Conduct Training
While the individual would work very closely with the broader compliance team, they would also be able to assist the Compliance Team on other matters of compliance and risk relating to the wider Firm/ Group
COMPETENCIES:
- Strong knowledge and understanding of COLL, MiFID II and other relevant sections of the FCA Handbook
- Demonstrable knowledge of Market Abuse legislation and procedures, including gatekeeping
- Knowledge and understanding of the financial Promotions rules
- Knowledge and understanding of liquidity monitoring and liquidity risk management
- Knowledge of ESG, sustainability and climate risk related regimes including but not limited to SDR, SFDR and TCFD
- Knowledge and understanding of US Investment Company Act 1940 and other relevant US securities regulations (to the extent it applies to Registered Investment Companies (RICs)), including investment restrictions and liquidity requirements
- Good product knowledge – UCITS, AIF and RIC products
- Knowledge on the marketing and distribution of the above products in the UK, EEA and overseas jurisdiction (e.g. North America, Middle East, Asia and Australasia)
- Strategic thinker to identify compliance risks relevant to the business and prioritise work effectively
QUALIFICATIONS AND EXPERIENCE REQUIRED:
Strong academic background, law undergraduate degree preferable but not necessary, ideally including a post-graduate qualification or professional diploma,
***4-5 years’ experience working with UCITS funds (OEIC, SICAV) and US Mutual Funds at an MiFID investment manager or Collective Portfolio Management Investment Firm – this is ESSENTIAL please
Seniority level
Seniority level
Mid-Senior level
Employment type
Employment type
Full-time
Job function
Job function
Accounting/Auditing
Industries
Venture Capital and Private Equity Principals and Investment Management
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