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Compliance Specialist - Asset Manager

eFinancialCareers
Job LocationLondon
EducationNot Mentioned
SalaryCompetitive salary
IndustryNot Mentioned
Functional AreaNot Mentioned
Job TypePermanent , full-time

Job Description

Responsibilities:

  • Provide the product development business with guidance and advice on investment-related regulations impacting research initiatives, fund launches and the existing range of funds.
  • Provide specific regulatory advice at the early stage of research initiatives taking into consideration fund structures, investment objectives, financial instruments, market eligibility, data availability, derivative use, conflicts of interest and any otherfactors with a potential regulatory impact.
  • Provide advisory/regulatory support for the life cycle of a fund launch, to include seeding request, investment committee notes, index eligibility, draft prospectus wording, board memo for prospectus approval, shareholder letter, internal/external Q&As,seeding letter, go/no go meeting and investment restrictions.
  • Support queries on cost and charges and other product related information.
  • Liaise with other IMG Compliance Advisory teams based in Malvern, Scottsdale and Melbourne on global issues including trading desk policies, investment restriction monitoring, investment capacity, trade errors and breaches.
  • Attend project-specific PRD meetings as the Compliance representative.
  • Maintain working relationships with the FSO (Fund Compliance), Product Team (PRD), Investment Management Group (IMG) the risk team (RMG), the regulatory reporting team and other members of the Office of the General Counsel (Compliance, Legal, InvestmentStewardship and Government Relations).
  • Provide guidance on investment restriction matters including data source, test logic, breach
  • identification and breach resolution.
  • Participate in PRD-sponsored projects requiring investment compliance input.
  • Participate in the annual review of IMG policies and the associated training of IMG and RMG.
  • Maintain a deep knowledge and awareness of the investment industry. Stay abreast of current
  • market, regulatory and industry relevant news.
  • Participate in special projects and perform other duties as assigned.
  • Support and provide coverage to the ESG team in relation to compliance related matters.
Requirements:
  • Minimum of 7 years related work experience, with at least 3 years within a financial services investment compliance function.
  • Strong knowledge of UCITS (both Irish and UK), and working knowledge of MiFID regulation;
  • Undergraduate degree or equivalent combination of training and experience.
  • Ability to work well as part of a team and/or independently.
  • Broad understanding oftheinvestment industry; knowledge of and experience with FCA and the CBI.
Location: London, UK.Working arrangement: Hybrid office and WFH model.Salary range: £70,000 -£120,000.Bonus: Discretionary annual bonus.Shortlisting: "Please note, should you not be contacted within five working days of submitting your application, then unfortunately you have not been shortlisting for this position. We will, however, be in touch should there be any other opportunities ofpotential interest suiting to your skills.

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