UCITS Compliance Analyst

JR United Kingdom; London; On-site; GBP 40,000 - 80,000; Full time

Job summary

A forward-thinking company is seeking a UCITS Compliance Analyst to join their team in London. In this role, you will support the UCITS Compliance Manager and be responsible for daily compliance tasks, including post-trade surveillance and liquidity monitoring. You will assist in preparing compliance monitoring programs and ensure internal processes are up to date. Ideal candidates will have experience within UCITS funds or similar investment firms, with a strong understanding of relevant regulations. This is a fantastic opportunity to contribute to a dynamic compliance environment and grow your career in financial services.

Qualifications

• Experience in UCITS Funds or similar firms is essential.
• Strong understanding of compliance monitoring programs.

Responsibilities

• Support the UCITS Compliance Manager in managing compliance software.
• Conduct due diligence on ACD and third-party fund providers.

Skills

Knowledge of COLL

Understanding of MiFID II

Knowledge of liquidity monitoring

Market Abuse legislation

Education

Experience in UCITS ManCo

Experience in ACD or MiFID Investment Manager

Tools

Compliance Software

Job description

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UCITS Compliance Analyst Job Description

Reporting to the UCITS Compliance Manager, the UCITS Compliance Analyst should have relevant experience to perform the following duties:

1. Support the UCITS Compliance Manager in managing the Compliance Software.
2. Responsible for daily best execution, post trade surveillance, and liquidity monitoring, reporting any flags to the UCITS Compliance Manager.
3. Assist in preparing for and completing FCA and US SEC Compliance Monitoring Programmes.
4. Help ensure internal processes are up to date and relevant.
5. Maintain breach records and assist in reporting to ACD/other relevant parties.
6. Assist with risk and compliance reports for OEIC, SICAV, ICAV, Mutual Funds, and other fund structures.
7. Conduct due diligence on ACD and other third-party fund providers and complete related requests.

Competencies

• Knowledge of COLL, MiFID II, and other relevant sections of the FCA Handbook.
• Understanding of Market Abuse legislation and procedures, including gatekeeping.
• Knowledge of liquidity monitoring and liquidity risk management is desirable.

Qualifications

Experience working within a UCITS ManCo, ACD, or MiFID Investment Manager related to UCITS Funds or similar firms.