Compliance Manager UCITS & US Mutual Funds

The Compliance Manager will report to the Head of Compliance UK and sit in the Compliance Team, overseeing activities related to UCITS funds and US Mutual Funds. Close collaboration with US regulatory consultants and the Chief Risk Officer is expected to address current and emerging regulatory risks.

Responsibilities

• Managing Software
• Line Manager of the Compliance Analyst
• Daily trade, best execution and liquidity monitoring completed by the Analyst
• Dedicated compliance monitoring programme
• Breach monitoring, maintaining breach records and reporting to ACD/other relevant counterparties
• Liaise with US regulatory consultants and oversee periodic US regulatory reporting
• Review financial promotions, marketing and client communications
• Produce risk and compliance reports for the managed funds (OEIC, SICAV, NURS, RIC, Managed Investment...