Compliance Associate UCITS

We are working with an Investment Management business that has grown its AUM considerably over the years we have worked with them. A vibrant business at a key stage of their continued growth.

This is a newly created position that requires a strong Compliance individual with a good knowledge of UCITS and/or ETFs. The role is very generalist and would suit an inquisitive & proactive individual.

The role requires 3 days a week in the office.

Job Requirements:

1. Execute Compliance Monitoring Plan, including e-surveillance and alerts
2. Prepare SMCR updates and assessments (fit & proper)
3. Advise on BAU and project compliance (cross-border activity from UK, non-UK, Switzerland)
4. Support SMF16/17 in Compliance projects
5. Handle core compliance tasks (Gifts & Entertainment, Personal Account Dealing, Conflicts, Outside Business Interests)
6. Manage compliance administration (new joiner setup, FCA Directory Person submissions)
7. Oversee and code Order Management System for investment restrictions
8. Assist with regulatory reporting oversight (MiFID trade/transaction reporting)
9. Organize and deliver staff training
10. Advise Legal & Compliance team on marketing materials/financial promotion approval

Unless otherwise stated, candidates must have the right to work in the UK.

The CLARC Guarantee - we 100% guarantee that your CV will never be sent to a client without your prior expressed permission so all of your details are totally secure with us. Please note due to the volume of applications we sadly cannot reply to every application we receive and only successful applications will be contacted, however your details will be registered for consideration for more suitable opportunities as we get them.