Compliance Advisory AIFMD & UCITS

30 Apr 2021
28 May 2021
Job Type
Employer Sector
Accountancy Practice
Contract Type
Full Time
Our client is one of the world's leading and most renowned Asset and Investment Management organisations. The opportunity has arisen for a Compliance Professional to liaise with portfolio managers and other investment staff including dealers in relation to the regulatory framework, including advising on UCITS and AIFMD requirements.

THE ROLE: Compliance Advisory AIFMD & UCITS

•Liaising with portfolio managers and other investment staff including dealers in relation to the regulatory framework, including advising on UCITS and AIFMD requirements, including eligibility, limits and concentration, conduct of business requirements and the application of compliance policies.

•Providing advisory support in relation to the coding framework for our EMEA domiciled fund ranges.

•Working on business projects providing timely advice on compliance matters. This includes support for new product initiatives including fund launches reviewing offering documentation, preparation of fund manager guidelines and approval of marketing collateral;

•Overseeing and liaison with third-party service providers, including depositories, trustees, administrators and fund accountants.

•Managing relationships with trustees/depositories and auditors, responding in partnership with other teams to trustee information or audit requests.

•Coordinating Compliance, regulator-driven or business-driven projects that involve cross Line of Business collaboration, including for example regulatory change developments. Reviewing regulatory developments in areas of responsibility and involvement as the compliance stakeholder

•Participation in key business-driven projects and initiatives providing timely advice on compliance matters;

•Implementation of regulatory change regarding fund regulation (such as AIFMD, UCITS)

•Reporting and communication on Compliance matters to senior management, corporate and/or fund boards and business stakeholders.

•Working with the EMEA Ex-UK based Compliance Officers to provide proactive qualitative compliance advice for all the EMEA domiciled fund ranges;

•Provide compliance advice, representation and guidance to the following committees/business areas: EMEA Pricing Committee, Risk and Quantitative Analysis and Retail Sub-Advisory Funds business (this includes UCITS & Alternative investment fund ('AIF') mandates);

•Liaising with portfolio managers and other investment staff including dealers on regulatory matters including advising on eligibility of instruments and application of compliance policies;

•Manage relationships with key stakeholders within the business including but not limited to areas of responsibility and attending regular management meetings as appropriate;

•Participating when required in key governance committees and forums, leading relationships in respect of TA Oversight, FA Oversight, and Trustee & Depositary;


- At least 5 years Financial Services experience with a focus on regulation - ideally buy side with good working knowledge of FCA and EU regulatory environments

- Strong communication skills and ability to articulate complex situations to senior business representatives;

- Develop robust strategies to manage a changing regulatory environment, to allow the business to make more informed decisions on the basis of sound evidence and analysis;

- Build and maintain sustainable & successful relationships;

- Self-motivated and solutions-driven with ability to use initiative and think laterally to navigate problems;

- Ability to articulate complex issues in a clear and concise manner;

- Strong presentation skills and effective in writing;

- High standard of accuracy and excellent attention to detail;

- Excellent organisational skills - ability to prioritise workloads and adhere to deadlines;

- Ability to collaborate across teams/functions and also work autonomously with minimal supervision;

- Knowledge of Luxembourg UCITS & AIFs a distinct advantage (UK and Irish UCITS also considered);

- Persuasive and influential in provision of Compliance advice to a high-performing internal client base

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