UCITS & Mutual Funds Compliance Manager | London, UK | Hybrid

<p><efc-job-header><h2>UCITS & Mutual Funds Compliance Manager </h2>Non-disclosed London, United Kingdom <efc-apply-button>Apply now </efc-apply-button><efc-saved-job> </efc-saved-job><efc-job-meta>Posted 1 day ago Hybrid Job Permanent $80k - $90k </efc-job-meta><efc-sticky-element><h2>UCITS & Mutual Funds Compliance Manager </h2>Non-disclosed London, United Kingdom <efc-apply-button>Apply now </efc-apply-button><efc-saved-job> </efc-saved-job> </efc-sticky-element> </efc-job-header> </p><p>The UCITS and Mutual Fund specialist would sit in the compliance team and oversee the activities of the team with respect to </p><ul><li>Managing Software </li><li>Daily trade, best execution and liquidity monitoring </li><li>Dedicated compliance monitoring programme – COLL, UCITS, MIFID II, MAR, COBS, SYSC, regulatory requirements </li><li>Breach monitoring, maintaining breaches records and reporting to ACD/other relevant parties </li><li>Liaise with ACD and Investment Advisors on compliance matters </li><li>Review financial promotions </li><li>Produce OEIC, SICAV and Mutual Fund specific risk and compliance reports including agreeing mitigating controls and escalating other risks </li><li>Work with Head of Risk to consider current and emerging high risk and high-profile activities. </li><li>Conduct due diligence on ACD and other third-party providers of the OEICs e.g. brokers, depository. </li><li>Working with the team to design, implement and periodic review of policies and procedures. </li><li>Work with wider team to advise on and implement regulatory change. </li><li>Conduct Training </li> </ul><p>They would also be able to assist the compliance team on other matters of compliance and risk monitoring and policy building. </p><p>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 </p><ul><li>Strong knowledge and understanding of COLL, MiFID II and other relevant sections of the FCA Handbook </li><li>Demonstrable knowledge of Market Abuse legislation and procedures, including gatekeeping </li><li>Knowledge and understanding of the financial promotions rules; </li><li>Knowledge and understanding of liquidity monitoring and liquidity risk management </li><li>Good product knowledge; </li><li>Knowledge of ESG reporting including drafting of SFDR disclosures preferable </li><li>Strategic thinker to identify compliance risks relevant to the business and prioritise work effectively; </li><li>Organized, analytical and prepared to constructively challenge status quo; </li><li>Able to work independently and within a team </li><li>Strong attention to detail and fast learner </li><li>Interpersonal skills to work with various teams and external parties is vital </li><li>Interest in using technology to find solutions to maintain compliance records, excel modelling preferable </li> </ul><p><strong>Qualifications and Experience </strong> </p><p>Strong academic background, law undergraduate degree preferable but not necessary, ideally including a post-graduate qualification or professional diploma, 4-5 years’ experience </p><p>Working with UCITS funds (OEIC, SICAV) at an MiFID investment manager or CPMI that also manages UCITS funds.<br>If you have this experience and are interested please call Fergus Hooley in confidence </p><p><h2>Boost your career </h2>Find thousands of job opportunities by signing up to eFinancialCareers today. </p> #J-18808-Ljbffr