Compliance Manager UCITS & US Mutual Funds

Compliance Manager UCITS & US Mutual Funds

Direct message the job poster from Austin Andrew

Reporting to the Head of Compliance UK, the Compliance Manager would sit in the Compliance Team and oversee the activities

• Managing Software
• Line Manager of the Compliance Analyst
• Daily trade, best execution and liquidity monitoring completed by the Analyst
• Dedicated compliance monitoring programme
• Breach monitoring, maintaining breaches records and reporting to ACD/other relevant counterparties
• Liaise with US regulatory consultants and oversee periodic US regulatory reporting
• Review financial promotions, marketing and client communications
• Produce risk and compliance reports for the managed funds (OEIC, SICAV, NURS, RIC, Managed Investment Scheme) including agreeing mitigating controls and escalating other risks
• Work with Chief Risk Officer t...