Asset Management – EMEA Compliance – Compliance Manager (Funds Compliance) – Vice President

Your Responsibilities:

  • Provide advice and support on the regulatory aspects of investment breaches and investment portfolio matters
  • Act as the main Compliance contact for fund depositaries which includes responding to queries and participating in due diligence visits
  • Provide guidance on security pricing and valuation
  • Provide assistance in the review of eligible markets and new instruments / products (including attending project meetings and completing NBIA/PIA reviews as required)
  • Consider and interpret investment policy and restrictions, including applicability of benchmarks
  • Assist the review and approval of new products and instruments such as ETFs and derivatives
  • Participate in project work, as required
  • Liaise with other Compliance teams based in overseas offices in the Continental Europe, US, Hong Kong, Japan etc.
  • Liaise with Product Development and other control functions
  • Maintain an up to date knowledge of the regulatory environment, specifically in respect of the UK and Luxembourg UCITS requirements as well as AIFMD
  • Analyse the impact of new regulations within the business environment, ensuring that the business is prepared and made aware of the changes
  • Provide support in writing minutes to compliance governance committees
  • Prepare and deliver Compliance reports to Investment Trust Audit Committees
  • Provide Compliance advisory support for the Investment Administration oversight of DST
  • Support and advise the communications control group on regulatory matters relating to the approval of financial promotions
  • Conduct monitoring reviews as prescribed by the annual monitoring program
  • Attend relevant committees and forums.

Skills and Qualifications:

Specific Experience Required:

  • Strong academic or professional qualifications
  • Previous experience in a compliance advisory role within a Legal or Compliance Department, consultancy firm or regulator
  • A strong practical working knowledge of UCITS (both UK and Luxembourg) and AIFMD is desirable
  • A good knowledge of equity and fixed income products is preferred, and derivative and alternative product knowledge would be advantageous
  • A good knowledge  of US regulations, or the ability to acquire this in a fast-moving environment, is preferred

Additional Information:

The ability to form and develop relationships at all levels of the business is a critical element for this position.  The successful candidate will have a strong and outgoing personality, with the ability to successfully represent themselves and the Compliance Function.  The following skills are also required:

  • Ability to act on own initiative and fulfill objectives with minimum supervision
  • Ability to constantly prioritise workflow
  • Good analytical skills
  • Attention to detail and good organisational skills
  • Ability to work effectively within a team
  • Strong written and oral communication skills
  • Willingness to learn and develop new skills.

Source: for more information click here.

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Company Information
  • Specialism Custodians
  • Address Chase Headquarters 270 Park Ave. New York, NY 10017
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