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Reporting to the Head of UK Compliance this newly created role will manage the key project agenda for the department, providing hands on support to the compliance function and its various key stakeholder groups.
Examples of projects to be undertaken include:
1. MIFID II integration (outsourcing arrangement etc) 2. Thematic Reviews 3. Development of a Code of Ethics Monitoring Scheme 4. Integration of the new in-house compliance system 5. GAP Analysis of ongoing regulatory streams (MAR etc)
The team are generalist in nature meaning they enjoy a varied remit which is broad in scope across post-trade monitoring (exception investigations) and investment team/employee advisory work. The focus is on UCITs funds (Luxembourg & Dublin) with some additional exposure to US rules (40 Act), which means any SEC knowledge is a bonus.
The successful individual will most likely have the following background:
Significant experience within an Asset Management compliance function
An investment guidelines background having then moved into advisory work
Strong UCITS technical knowledge across European fund portfolios
Recent examples of delivering on key projects (systems and advisory focussed)
Comfortable working within a small team with a hands on approach
The ability to help and assist more junior colleagues in the wider team