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- Tasks: Oversee compliance activities for UCITS and Mutual Funds, ensuring regulatory adherence.
- Company: Join a dynamic compliance team in a leading financial firm based in London.
- Benefits: Enjoy a hybrid work model with competitive salary and professional growth opportunities.
- Why this job: Be part of a crucial role that shapes compliance strategies and impacts the financial sector.
- Qualifications: 4-5 years' experience with UCITS funds and a strong academic background preferred.
- Other info: Opportunity to work closely with senior management and influence compliance policies.
The predicted salary is between 57600 - 64800 £ per year.
UCITS & Mutual Funds Compliance Manager
Non-disclosed London, United Kingdom Apply now Posted 1 day ago Hybrid Job Permanent $80k – $90k
UCITS & Mutual Funds Compliance Manager
Non-disclosed London, United Kingdom Apply now
The UCITS and Mutual Fund specialist would sit in the compliance team and oversee the activities of the team with respect to
- Managing Software
- Daily trade, best execution and liquidity monitoring
- Dedicated compliance monitoring programme – COLL, UCITS, MIFID II, MAR, COBS, SYSC, regulatory requirements
- Breach monitoring, maintaining breaches records and reporting to ACD/other relevant parties
- Liaise with ACD and Investment Advisors on compliance matters
- Review financial promotions
- Produce OEIC, SICAV and Mutual Fund specific risk and compliance reports including agreeing mitigating controls and escalating other risks
- Work 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 Training
They 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 Compliance
- 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
- Good product knowledge;
- Knowledge of ESG reporting including drafting of SFDR disclosures preferable
- Strategic 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 team
- Strong attention to detail and fast learner
- Interpersonal skills to work with various teams and external parties is vital
- Interest in using technology to find solutions to maintain compliance records, excel modelling preferable
Qualifications and Experience
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) at an MiFID investment manager or CPMI that also manages UCITS funds.
If you have this experience and are interested please call Fergus Hooley in confidence
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UCITS & Mutual Funds Compliance Manager | London, UK | Hybrid employer: Non-disclosed
Contact Detail:
Non-disclosed Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land UCITS & Mutual Funds Compliance Manager | London, UK | Hybrid
✨Tip Number 1
Familiarise yourself with the latest regulations and compliance frameworks related to UCITS and Mutual Funds. This will not only help you in interviews but also demonstrate your commitment to staying updated in a rapidly changing environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience with UCITS funds. Attend industry events or webinars to make connections that could lead to referrals or insider information about the role.
✨Tip Number 3
Prepare to discuss specific compliance challenges you've faced in previous roles, particularly those involving COLL, MiFID II, or liquidity monitoring. Real-life examples can set you apart from other candidates.
✨Tip Number 4
Showcase your analytical skills by being ready to discuss how you would approach risk assessment and compliance monitoring for UCITS funds. This demonstrates your strategic thinking and problem-solving abilities, which are crucial for the role.
We think you need these skills to ace UCITS & Mutual Funds Compliance Manager | London, UK | Hybrid
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience with UCITS and Mutual Funds, as well as your knowledge of relevant regulations like COLL and MiFID II. Use specific examples to demonstrate your compliance expertise.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your skills align with the job requirements, particularly your experience in compliance monitoring and risk management.
Showcase Relevant Experience: When detailing your work history, focus on your previous roles related to compliance in financial services. Highlight any specific projects or achievements that relate to liquidity monitoring or regulatory compliance.
Proofread Your Application: Before submitting, carefully proofread your application materials. Ensure there are no spelling or grammatical errors, and that all information is clear and concise. A polished application reflects your attention to detail.
How to prepare for a job interview at Non-disclosed
✨Know Your Regulations
Make sure you have a solid understanding of COLL, MiFID II, and other relevant FCA Handbook sections. Be prepared to discuss how these regulations impact compliance in UCITS and mutual funds.
✨Demonstrate Your Analytical Skills
As a Compliance Manager, you'll need to showcase your ability to identify compliance risks and prioritise tasks effectively. Prepare examples from your past experience where you've successfully navigated complex compliance challenges.
✨Showcase Your Interpersonal Skills
You'll be working closely with various teams and external parties, so it's crucial to demonstrate strong interpersonal skills. Think of instances where you've collaborated effectively or resolved conflicts in a professional setting.
✨Highlight Your Tech Savvy
Given the emphasis on using technology for compliance records and reporting, be ready to discuss any relevant tools or software you've used. If you have experience with Excel modelling or compliance tech solutions, make sure to mention it!