UCITS Compliance Analyst (London Area)

Reporting to the UCITS Compliance Manager, the UCITS Compliance Analyst should have some experience to perform the following duties:

• Supporting the UCITS Compliance Manager in managing the Compliance Software
• Responsible for the daily best execution, post trade surveillance and liquidity monitoring reporting any flags to the UCITS Compliance Manager
• Assist the UCITS Compliance Manager prepare for and complete the FCA and US SEC Compliance Monitoring Programmes
• Assist the UCITS Compliance Manager to ensure that internal processes are kept up to date and relevant
• Maintaining breaches records and assisting the UCITS Compliance Manager report to ACD/other relevant parties
• Assist the UCITS Compliance Manager with OEIC, SICAV, ICAV, Mutual Fund and other Fund Structure specific risk and compliance reports; and
• Assist UCITS Compliance Manager with conducting due diligence on ACD and other third-party providers of the funds and also complete due diligence requests received

COMPETENCIES

• Knowledge and understanding of COLL, MiFID II and other relevant sections of the FCA Handbook
• Knowledge of Market Abuse legislation and procedures, including gatekeeping
• Knowledge and understanding of liquidity monitoring and liquidity risk management desirable

QUALIFICATIONS

Experience working within a UCITS ManCo, ACD or MiFID Investment Manager to UCITS Funds or similar firm