Funds Compliance Manager

Compliance

Reference ID

AL1012

Category

Compliance

Salary

to c£50,000 + benefits

Contact Person

Angela Liscombe

Job description

Funds Compliance Manager

Nottingham (our Ref AL1020)

Salary c£50,000 + benefits and parking

 

My client has a trusted, established reputation for offering a premium service to its clients, providing Fund Administration services to the UK Fund Management industry.

They now have an outstanding opportunity for an individual with extensive experience within Fund Management and Compliance to join their team, to support the embedding of risk and compliance accountability and awareness across the business and its key stakeholders and clients.

 

Responsibilities of the Role

 

·        Provide advice and support to the business, including regulatory rule interpretation regarding UK and non-UK requirements impacting fund developments e.g. COLL, FUND, UCITS, and AIFMD.

·        Act as UCITS subject matter expert for the business in its role as a regulated Authorised Corporate Director/Authorised Fund Manager for a range of regulated collective investment schemes.

·        Support the Chief Risk and Governance Officer and Compliance Department in the provision of a comprehensive compliance function and providing a robust risk management service to the Firm.

·        To liaise with Investment Managers in relation to UCITs eligibility of investments and manage all initial and ongoing fund and Investment Fund Manager due diligence processes

·        Fund-design subject matter expert, with the demonstrable ability to challenge fund managers on investment fund objectives, investment processes, liquidity considerations, and suitability of benchmarks, through influence and collaboration.

·        Assist with the preparation and maintenance of fund related legal documentation.

·        Responsible for creating and maintaining a full index of fund governance policies and review timetable and contribute to writing and reviewing fund governance procedures and policies, including the regular review and publication of the Compliance Manual, in accordance with the annual timetable for policy review.

·        Manage incoming queries on the eligibility of investments within Funds and the eligibility of markets for investments  in accordance with regulatory obligations and the terms of the relevant Prospectus.

 

Experience & Qualifications

 

·        Significant experience within the asset management industry, ideally within Compliance or Legal, as well as expertise in UCITS funds.

·        Strong demonstrable understanding of FCA regulations and relevant post-Brexit equivalent EU Directives as they apply to investment management.

·        In-depth knowledge of product development processes, related regulation and associated best practice.

·        Good understanding of risk management concepts including practical experience of providing advice, oversight and challenge in relation to risk management framework implementation and key risk exposures.

·        Relevant compliance and/or investment funds related qualification preferred.

·        Experience of writing and reviewing policies and procedures.

 

If this role is of interest, please apply with an up to date CV.  We aim to respond to all applications within 10 days.  By submitting your CV you consent to it being retained for use in connection with this and future relevant and/or similar vacancies, you can of course, opt out of this at any time by emailing us.  Full Privacy Notice can be found on our website.

 

 

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