Compliance Fund Officer

Job type:
6-9 months
Resource Solutions
flag_no United Kingdom
project ID:

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Company Profile

A leading global financial services firm providing a wide range of investment banking, securities, investment management and wealth management services. The Firm's employees serve clients worldwide including corporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our people is critical to our success. Together, we share a common set of values rooted in integrity, excellence and strong team ethic. This firm can provide a superior foundation for building a professional career - a place for people to learn, to achieve and grow. A philosophy that balances personal lifestyles, perspectives and needs is an important part of our culture.

Department Profile

Professionals within Legal and Compliance provide a wide range of services to our business units. They might help to structure a complex and sensitive cross-border transaction; advise on a new product introduction; develop a training program or defuse an investor dispute. They preserve the firm's invaluable reputation for integrity and protect the firm from sanctions with policies and procedures that meet regulatory requirements around the world. They also strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the firm's businesses.

Team Profile

Investment Management is a foremost worldwide asset management business, offering investment management services to global investors in equity, fixed-income, asset allocation and alternative investment products including private equity, venture capital and real estate opportunities on a worldwide basis. Investment Management offers its products through fund vehicles (such as UK OEICs, Luxembourg SICAVs and US Mutual Funds) and as separately managed institutional accounts. The Investment Management Legal and Compliance Division in London is responsible for providing legal and regulatory support for all aspects of the European, Middle East and Africa (EMEA) Investment Management business.

We are now looking to appoint a Funds Compliance Officer. This is a mid to senior position within the Advisory group of the Investment Management Compliance team.

Primary Responsibilities:

You will be participating fully in the Compliance Advisory programme within the EMEA business including:

- Providing advice on all features of relevant Compliance procedures and policies

- Providing UCITS Eligible asset advice to the business and Portfolio Compliance team

- Representing Compliance in new fund launches, closures and key amendments

- Investment policy interpretation

- Oversight of Regulatory filings and compliance with jurisdictional requirements

- Representing Compliance on Product working groups

- Providing technical guidance on existing and new regulation (AIFMD, MMF etc.)

- Preparation and collation of Fund Board/Management Company Board reporting

- Providing on-going training to Investment teams on regulatory topics

- Liaison with Central Compliance groups eg Financial Crime Compliance Unit

- Participation in Compliance reviews of parts of the Investment Management business

Skills required

- You will have relevant Compliance experience in asset management with particular exposure to retail funds (UK, Luxembourg and Ireland), although individuals with general investment, regulatory compliance or auditing experience will be considered.

- You should have sound UCITS knowledge.

- Your analytical and communication skills will be first rate.

- You are comfortable operating in a dynamic environment involving liaison and operation with Investment Management colleagues globally and within the Compliance division more broadly.