UCITS & Mutual Funds Compliance Manager - eFinancialCareers

Job DescriptionThe UCITS and Mutual Fund specialist would sit in the compliance team and oversee the activities of the team with respect toManaging SoftwareDaily trade, best execution and liquidity monitoringDedicated compliance monitoring programme – COLL, UCITS, MIFID II, MAR, COBS, SYSC, regulatory requirementsBreach monitoring, maintaining breaches records and reporting to ACD/other relevant partiesLiaise with ACD and Investment Advisors on compliance mattersReview financial promotionsProduce OEIC, SICAV and Mutual Fund specific risk and compliance reports including agreeing mitigating controls and escalating other risksWork with Head of Risk to consider current and emerging high risk and high-profile activities.Conduct due diligence on ACD and other third-party providers of the OEICs e.g. brokers, depository.Working with the team to design, implement and periodic review of policies and procedures.Work with wider team to advise on and implement regulatory change.Conduct TrainingThey would also be able to assist the compliance team on other matters of compliance and risk monitoring and policy building.The individual would work very closely with the wider compliance team to ensure independence from the team for appropriate oversight and they would be managed by the Head of ComplianceCompetenciesStrong 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 rules;Knowledge and understanding of liquidity monitoring and liquidity risk managementGood product knowledge;Knowledge of ESG reporting including drafting of SFDR disclosures preferableStrategic thinker to identify compliance risks relevant to the business and prioritise work effectively;Organized, analytical and prepared to constructively challenge status quo;Able to work independently and within a teamStrong attention to detail and fast learnerInterpersonal skills to work with various teams and external parties is vitalInterest in using technology to find solutions to maintain compliance records, excel modelling preferableQualifications and ExperienceStrong academic background, law undergraduate degree preferable but not necessary, ideally including a post-graduate qualification or professional diploma, 4-5 years’ experienceWorking with UCITS funds (OEIC, SICAV) at an MiFID investment manager or CPMI that also manages UCITS funds.

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