Compliance Manager UCITS

2 weeks ago

Greater London, United Kingdom Austin Andrew Full time

Compliance Manager UCITS & US Mutual FundsThe Compliance Manager will report to the Head of Compliance UK and sit in the Compliance Team, overseeing activities related to UCITS funds and US Mutual Funds. Close collaboration with US regulatory consultants and the Chief Risk Officer is expected to address current and emerging regulatory risks.ResponsibilitiesManaging SoftwareLine Manager of the Compliance AnalystDaily trade, best execution and liquidity monitoring completed by the AnalystDedicated compliance monitoring programmeBreach monitoring, maintaining breach records and reporting to ACD/other relevant counterpartiesLiaise with US regulatory consultants and oversee periodic US regulatory reportingReview financial promotions, marketing and client communicationsProduce risk and compliance reports for the managed funds (OEIC, SICAV, NURS, RIC, Managed Investment Scheme) including agreeing mitigating controls and escalating other risksWork with Chief Risk Officer to consider current and emerging high risk and high-profile activitiesConduct due diligence on ACD and other third-party providersDesign, implement and periodically review policies and proceduresLead meetings and working groups as a representative of ComplianceAdvise on and implement regulatory change with the wider Compliance TeamLead on related projects such as corporate acquisitions and integration of software, systems and service providersConduct TrainingThe role may involve supporting the broader compliance team on other matters of compliance and risk relating to the wider Firm/Group.COMPETENCIESStrong knowledge and understanding of COLL, MiFID II and other relevant sections of the FCA HandbookDemonstrable knowledge of Market Abuse legislation and procedures, including gatekeepingKnowledge and understanding of the financial Promotions rulesKnowledge and understanding of liquidity monitoring and liquidity risk managementKnowledge of ESG, sustainability and climate risk regimes including SDR, SFDR and TCFDKnowledge 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 requirementsGood product knowledge – UCITS, AIF and RIC productsKnowledge of the marketing and distribution of the above products in the UK, EEA and overseas jurisdictionsStrategic thinker to identify compliance risks relevant to the business and prioritise work effectivelyQUALIFICATIONS AND EXPERIENCE REQUIREDStrong academic background, law undergraduate degree preferable but not necessary, ideally including a post-graduate qualification or professional diploma4-5 years’ experience working with UCITS funds (OEIC, SICAV) and US Mutual Funds at an MiFID investment manager or Collective Portfolio Management Investment FirmSeniority levelMid-Senior levelEmployment typeFull-timeJob functionAccounting/AuditingIndustriesVenture Capital and Private Equity Principals and Investment Management #J-18808-Ljbffr

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