Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Oversee compliance activities for UCITS and US Mutual Funds, ensuring regulatory adherence.
- Company: Join a leading investment management firm with a strong focus on compliance.
- Benefits: Competitive salary, professional development, and a dynamic work environment.
- Why this job: Make a real impact in the financial sector while developing your compliance expertise.
- Qualifications: 4-5 years of experience with UCITS and US Mutual Funds is essential.
- Other info: Collaborative team culture with opportunities for career advancement.
The predicted salary is between 43200 - 72000 £ per year.
Compliance Manager UCITS & US Mutual Funds
The 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.
Responsibilities
- 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 breach 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
- Design, implement and periodically review policies and procedures
- Lead meetings and working groups as a representative of Compliance
- Advise on and implement regulatory change with the wider Compliance Team
- Lead on related projects such as corporate acquisitions and integration of software, systems and service providers
- Conduct Training
The role may involve supporting the broader 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 regimes including 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 of the marketing and distribution of the above products in the UK, EEA and overseas jurisdictions
- 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
Seniority level
- Mid-Senior level
Employment type
- Full-time
Job function
- Accounting/Auditing
Industries
- Venture Capital and Private Equity Principals and Investment Management
#J-18808-Ljbffr
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
Network like a pro! Reach out to your connections in the compliance field, especially those who work with UCITS and US Mutual Funds. A friendly chat can lead to insider info about job openings that aren't even advertised yet.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of COLL, MiFID II, and market abuse legislation. We want you to be the go-to expert in the room, so practice explaining complex concepts in simple terms.
✨Tip Number 3
Don’t just wait for job alerts! Regularly check our website for new roles and apply directly. The more proactive you are, the better your chances of landing that Compliance Manager gig.
✨Tip Number 4
Showcase your strategic thinking skills during interviews. Be ready to discuss how you would identify compliance risks and prioritise tasks effectively. This will demonstrate your fit for the role and impress the hiring team.
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 is tailored to the Compliance Manager role. Highlight your experience with UCITS and US Mutual Funds, and don’t forget to mention any relevant qualifications or certifications that align with the job description.
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you’re the perfect fit for the role. Mention specific experiences that demonstrate your knowledge of compliance regulations and how you can contribute to our team.
Showcase Your Skills: In your application, be sure to showcase your understanding of COLL, MiFID II, and other relevant regulations. We want to see how your skills can help us navigate compliance challenges effectively.
Apply Through Our Website: Don’t forget to apply through our website! It’s the best way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re keen on joining our team at StudySmarter!
How to prepare for a job interview at Austin Andrew
✨Know Your Regulations
Make sure you brush up on COLL, MiFID II, and the US Investment Company Act 1940. Being able to discuss these regulations confidently will show that you’re not just familiar with compliance but that you can navigate the complexities of both UK and US markets.
✨Showcase Your Experience
With 4-5 years of experience in UCITS funds and US Mutual Funds being essential, prepare specific examples from your past roles. Highlight how you've managed compliance risks, conducted due diligence, or led compliance projects to demonstrate your hands-on expertise.
✨Prepare for Scenario Questions
Expect questions that ask how you would handle specific compliance scenarios. Think about potential breaches or regulatory changes and be ready to discuss your approach to mitigating risks and ensuring compliance within a team setting.
✨Engage with the Team
Since this role involves liaising with various stakeholders, practice how you would communicate compliance issues effectively. Be prepared to discuss how you would lead meetings or training sessions, showcasing your ability to collaborate and educate others on compliance matters.
