Compliance Associate – UCITS

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We are working with an Investment Management business that has grown its AUM considerably over the years we have worked with them. A vibrant business at a key stage of their continued growth.

This is a newly created position that requires a strong Compliance individual with a good knowledge of UCITS and/or ETFs. The role is very generalist and would suit an inquisitive & proactive individual.

The role requires 3 days a week in the office.

Job Requirements

• Execute Compliance Monitoring Plan, including e-surveillance and alerts
• Prepare SMCR updates and assessments (fit & proper)
• Advise on BAU and project compliance (cross-border activity from UK, non-UK, Switzerland)
• Support SMF16/17 in Compliance projects
• Handle core compliance tasks (Gifts & Entertainment, Personal Account Dealing, Conflicts, Outside Business Interests)
• Manage compliance administration (new joiner setup, FCA Directory Person submissions)
• Oversee and code Order Management System for investment restrictions
• Assist with regulatory reporting oversight (MiFID trade/transaction reporting)
• Organize and deliver staff training
• Advise Legal & Compliance team on marketing materials/financial promotion approval

Unless otherwise stated, candidates must have the right to work in the UK.

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