Applied Recruitment

FUND COMPLIANCE & ADVISORY VICE PRESIDENT, ASSET MANAGEMENT, C£70,000 PLUS BENS, CITY

This position is within the Funds Compliance team, which has compliance oversight for investment fund products domiciled in Dublin, Luxembourg and the UK.  This particular role includes oversight of  the Company’s market leading ETF products, together with other closed ended vehicles, as well as support to UCITS funds domiciled in Ireland, Luxembourg and the UK, registered in 32 jurisdictions and with over US$100billion under management.

Our client is seeking an experienced Compliance professional with a good knowledge of fund regulation, which should ideally include knowledge of the cross-border UCITS rules and/or marketing rules.  The ideal candidate would have solid compliance experience, excellent communication skills, and a strong personality, combining energy, enthusiasm, resilience, tenacity and diplomacy. 

Key Responsibilities

Elements of role will depend on the individual, and the role is highly flexible, but it may include:

• Working on new product initiatives and taking compliance responsibility for product launches and changes
• Management and production of internal Fund Manager Guidelines, which set out the regulatory restrictions
• Liaising with Fund Managers and investment staff in interpreting the guidelines, and dealing with relevant queries and issues
• Acting as the Fund compliance contact for specified projects, including for example compliance monitoring projects, new regulations, MiFiD, etc.
• Dealing with fund issues, queries, and projects as required, including regulatory changes and money laundering issues
• Liaison with other business units, and external parties such as transfer agency and other third party providers, auditors, trustees and regulators
• Review of a wide range of financial promotions (incl. Advertisements/brochure-ware/internet /presentations etc.)

Skills qualifications:

• Strong knowledge of Asset Management
• Strong interpersonal skills, dynamic, personality suited to the advisory side of the role.  Individuals will also be meeting with key stakeholders within the business so it's important that they possess the necessary gravitas to conduct these meetings appropriately
• Strong written and oral communication skills
• High standard of accuracy and excellent attention to detail
• Ability to prioritise workloads and adhere to deadlines
• Excellent organisational skills
• Collaborative team player
• Ability to work on team projects and also work autonomously

 

"Think what you could achieve if you knew you couldn't fail" - Anon