UCITS Compliance Analyst

Austin Andrew; Greater London; On-site; GBP 40,000 - 70,000; Full time

Job summary

An established industry player is seeking a dedicated UCITS Compliance Analyst to support compliance processes and manage compliance software. This role involves daily execution monitoring, liquidity assessments, and assisting with compliance reporting. The ideal candidate will have experience within a UCITS Management Company or a similar investment firm, ensuring compliance with regulatory requirements. Join a dynamic team that values your skills and offers growth opportunities in the investment management sector.

Qualifications

• Experience working within a UCITS ManCo or similar firm is essential.
• Knowledge of FCA Handbook and compliance processes is crucial.

Responsibilities

• Support UCITS Compliance Manager in managing compliance software.
• Assist in preparing for FCA and US SEC Compliance Monitoring Programmes.

Skills

Knowledge of COLL

Understanding of MiFID II

Knowledge of Market Abuse legislation

Liquidity monitoring

Liquidity risk management

Education

Experience in UCITS ManCo

Experience in MiFID Investment Manager

Job description

This range is provided by Austin Andrew. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

Base pay range

Direct message the job poster from Austin Andrew

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

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

COMPETENCIES

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

QUALIFICATIONS

Experience working within a UCITS ManCo, ACD, or MiFID Investment Manager to UCITS Funds, or a similar firm

Seniority level

Associate

Employment type

Full-time

Job function

Analyst

Industries

Investment Management

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