Reporting in to the EMEA Senior Compliance Manager the successful candidate will have primary responsibility for the following key areas:

  • Investment Restriction Monitoring on a daily basis. This will involve reviewing security positions of UCITs or Mutual Funds as well as segregated portfolios to ensure that they are fully compliant within the applicable regulations and/or fund/client specific investment restrictions.
  • Act as the main POC for the Trustee in respect of investment queries.
  • Completion of the RMP and CMP
  • Thematic Compliance reviews
  • Assisting with the international RMP
  • Completion of AML and KYC checks on new clients and the associated ongoing monitoring.
  • Maintenance of the Compliance manual and the associated policies and procedures.
  • Assist senior staff in the preparation and filing of regulatory reports

In addition to the above you may also be involved with Financial Promotions review and approval, gifts and entertainment monitoring and approval and the preparation of board reports.

To be considered for this position the ideal candidate will have the following skills and experience:

  • Charles River or the equivalent order routing system together with a working knowledge of the applicable FCA rules and regulations - SEC would be an advantage but is not essential.
  • Familiarity of pre and post trade monitoring from within a UCITs environment
  • Understanding of the regulatory requirements, investment limitations and operating policies for mutual funds.
  • Minimum 5-6 years compliance financial services experience - ideally in the mutual funds industry

In return for the above my client offers a competitive salary and a generous benefits package with the opportunity to join a leading organisation at an exciting stage of its growth.