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- Tasks: Oversee compliance activities for UCITS and US Mutual Funds, ensuring regulatory adherence.
- Company: Join Austin Andrew, a leading firm in investment management and compliance.
- Benefits: Enjoy a full-time role with opportunities for professional growth and development.
- Why this job: Be part of a dynamic team shaping compliance strategies in a fast-paced environment.
- Qualifications: 4-5 years' experience with UCITS and US Mutual Funds is essential; law degree preferred.
- Other info: Work closely with a collaborative compliance team and engage in exciting projects.
The predicted salary is between 100000 - 130000 ÂŁ per year.
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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Compliance Manager UCITS & US Mutual Funds employer: Austin Andrew
Contact Detail:
Austin Andrew Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager UCITS & US Mutual Funds
✨Tip Number 1
Familiarise yourself with the specific regulations and compliance frameworks relevant to UCITS and US Mutual Funds. Understanding COLL, MiFID II, and the US Investment Company Act will give you a solid foundation to discuss during interviews.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience with UCITS and US Mutual Funds. Engaging with industry groups or attending relevant seminars can help you make valuable connections that may lead to job opportunities.
✨Tip Number 3
Stay updated on current trends and changes in compliance regulations, particularly those affecting liquidity monitoring and ESG considerations. Being knowledgeable about these topics will demonstrate your commitment to the role and the industry.
✨Tip Number 4
Prepare to discuss your experience with compliance monitoring programmes and breach management in detail. Be ready to provide examples of how you've successfully navigated compliance challenges in previous roles, as this will showcase your expertise.
We think you need these skills to ace Compliance Manager UCITS & US Mutual Funds
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience with UCITS funds and US Mutual Funds. Emphasise any relevant qualifications, particularly if you have a law degree or professional diploma, and detail your 4-5 years of experience in the field.
Craft a Strong Cover Letter: In your cover letter, address how your skills align with the competencies listed in the job description. Mention your knowledge of COLL, MiFID II, and other regulations, and provide examples of how you've successfully managed compliance risks in previous roles.
Showcase Relevant Experience: When detailing your work history, focus on specific projects or tasks that relate to compliance monitoring, regulatory reporting, and risk management. Highlight any experience leading meetings or working with regulatory consultants.
Proofread and Edit: Before submitting your application, carefully proofread your documents for any spelling or grammatical errors. Ensure that your application is clear, concise, and professionally presented to make a strong impression.
How to prepare for a job interview at Austin Andrew
✨Know Your Regulations
Make sure you have a solid understanding of COLL, MiFID II, and the US Investment Company Act 1940. Brush up on market abuse legislation and financial promotions rules, as these are crucial for the Compliance Manager role.
✨Demonstrate Your Experience
Be prepared to discuss your 4-5 years of experience with UCITS funds and US Mutual Funds in detail. Highlight specific projects or challenges you've faced and how you navigated them successfully.
✨Showcase Your Strategic Thinking
Think about compliance risks relevant to the business and be ready to share examples of how you've identified and prioritised these risks in your previous roles. This will demonstrate your ability to think strategically.
✨Prepare for Team Collaboration
Since the role involves working closely with the compliance team and other departments, be ready to discuss your experience in leading meetings and working groups. Share examples of how you've effectively collaborated with others to achieve compliance goals.
