- 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
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.