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This role, which would be suitable for the right person with a strong legal or compliance background, is working for the London subsidiary where we aim to replicate our success in the US and grow our investment strategies in the European markets through the management and promotion of an affiliated Irish domiciled UCITS Company with ETF and mutual sub-funds and also US based alternative funds. The London based office consists of 23 employees.
We are currently seeking a Compliance Assistant to support the UK based Assistant General Counsel and US team, as applicable with compliance related matters in respect of our UK regulated AIFMD and MIFID business, the Irish domiciled UCITS and AIF products, and European cross-border distribution business. We would also consider the right person who is looking for a part-time role.
Roles and Responsibilities
Support business with compliance matters and implementation
Monitor EU and UK regulations and FCA compliance changes
Carry out compliance reviews on a monthly, quarterly, semi-annual and annual basis as required; including: - Inducements - Transaction Reporting - Best execution - Financial promotions - Market conduct
Monitor and review compliance manual and compliance procedures, and update as required
Work alongside US compliance and assist in US compliance related mattered as required
Assist in training new joiners on compliance and regulatory matters
Assist in preparing compliance meetings
Assist as required with ad-hoc compliance related queries
Assist in preparing compliance related board materials
Marketing Material Review from a UK legal / compliance perspective
Support Europe marketing team
Review all European marketing materials including: - Fact sheets - Pitchbooks and presentations - Articles and Interviews - Marketing commentary - Updates to all of the above
Support US marketing team with US marketing material for US AIFS notified into Europe
MIFID and / or AIFMD regulatory compliance within a UK asset manager
UCITS cross boarder distribution compliance
Familiarity with UCITS (Irish or Luxembourg) compliance and investment restrictions
[SEC / FINRA experience – not essential]
If you are interested in this opportunity and have relevant legal or compliance experience, please apply here submitting a copy of your CV.