Senior Compliance Manager: UCITS & US Mutual Funds

Austin Andrew; Greater London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A UK investment management firm is seeking a Compliance Manager to oversee UCITS funds and US Mutual Funds compliance activities. The ideal candidate will possess strong regulatory knowledge and 4-5 years of relevant experience. Responsibilities include managing compliance monitoring, reviewing financial communications, and ensuring regulatory adherence. This is a full-time position that offers a mid-senior level role in a dynamic team environment.

Qualifications

• 4-5 years’ experience working with UCITS funds and US Mutual Funds at an investment manager.
• Strong academic background preferred.

Responsibilities

• Oversee activities related to UCITS and US Mutual Funds.
• Manage software and compliance monitoring programmes.
• Review financial promotions and client communications.
• Conduct due diligence on third-party providers.

Skills

Strong knowledge of COLL, MiFID II

Knowledge of Market Abuse legislation

Understanding of financial Promotions rules

Liquidity monitoring skills

Knowledge of ESG and climate risk regimes

Understanding of US Investment Company Act

Good product knowledge - UCITS, AIF

Strategic thinking for compliance risks

Education

Law undergraduate degree or equivalent

Post-graduate qualification or professional diploma

Job description

A UK investment management firm is seeking a Compliance Manager to oversee UCITS funds and US Mutual Funds compliance activities. The ideal candidate will possess strong regulatory knowledge and 4-5 years of relevant experience. Responsibilities include managing compliance monitoring, reviewing financial communications, and ensuring regulatory adherence. This is a full-time position that offers a mid-senior level role in a dynamic team environment.