application of relevant financial regulatory frameworks including but not limited to the FCA Handbook (COBS and CASS), Regulated Activities Orders, FSMA, PDS2, EMD2, AIFMD, UCITS, MIFID II, IDD, EMIR, Financial Crime legislation (including MLRs, MAR, POCA, etc.) European Union Withdrawal Agreements; and of regulations for ICAAP/ICARA, ISO27001 Excellent more »
Experience Required: 1 - 3 years’ experience working within an alternative investment manager or consultancy Generalist compliance experience Knowledge and understanding of AIFMD, MiFID II, UCITS/COLL Some knowledge & understanding of ESG regulation Experience working at SEC registered investment advisers is desirable Able to work independently & as part of a more »
Develops Digital Conduct Risk and Consumer Duty training and curriculum and delivers training to new joiners Candidate requirements Strong knowledge of CASS, Consumer Duty, UCITS and MiFID II rules. Experience of working in a conduct role in regulated environment Working knowledge of FCA regulatory requirements including consumer vulnerability guidance Experience more »
Develops Digital Conduct Risk and Consumer Duty training and curriculum and delivers training to new joiners Candidate requirements Strong knowledge of CASS, Consumer Duty, UCITS and MiFID II rules. Experience of working in a conduct role in regulated environment Working knowledge of FCA regulatory requirements including consumer vulnerability guidance Experience more »
supporting assessments of value. In this role you will ensure compliance with all regulatory, tax, and corporate rules demonstrating relevant regulation knowledge to include UCITS and Mifid II which are crucial. You will also be experienced in comparing and contrasting investment solutions against competitors, market developments, and customer and adviser more »
FCA/UK regulatory framework, and direct relevant experience is highly desirable. Knowledge of the U.S. compliance regime and SEC rules would be advantageous UCITS/MiFID/ESG knowledge would beneficial ASAP Start Date 3-6 Months If this is of interest, please apply and I'll be inmore »
Greater London, England, United Kingdom Hybrid / WFH Options
Willow Resourcing Limited
gained several years’ Compliance experience focused on investment products and have a detailed knowledge of UK regulatory requirements in this space, including MiFID, MAR, UCITS etc. Excellent communication and stakeholder management skills are essential. Interested? Click apply. Not got an up to date CV? Don’t worry, you can always more »
within asset management and within product or product governance would be advantageous Educated to degree level or equivalent Knowledge of product structures, in particular UCITS domiciled within UK and Ireland, and key product documentation A good awareness of investment products, including familiarity with various asset/fund types: equity, fixed … income, property, cash, derivatives A sound and up-to-date knowledge of regulatory environment and authorised funds, including UCITS, COLL, PRIN, COB Excellent communication skills is required with experience building senior management relationships, as well as collaborating and supporting internal and external stakeholders A professional curiosity to identify and drive more »
Operations Manager - Transfer Agency Oversight The Company: Global Alternatives Investment Manager - City of London Globally Renowned Alternatives Manager continues to see growth in its UCITs and ELTIF platform is looking to take on an experience Fund Operations Professional to manage the transfer agency relationship whilst supporting internal Product, Sales, Portfolio … and Compliance teams The Responsibilities Member of the Fund Operations Team overseeing the day to day service provider operations for the UCITS, QIAIF and Alternatives (ELTIFs) platforms Oversee the external Transfer Agency relationship Manage the day to day Transfer Agency relationship being the key stakeholder for operational queries Understanding of … the European and US dealing infrastructure key Coordinate product implementation for the firms UCITS, QIAIF and Alternatives funds in conjunction with various teams throughout the global business Work across product launches and fund/share class opening and closures The Requirements: 8+ Years within a Fund Administrator/Asset Manager more »
development matters. Reporting to the Head of Product & Investment Compliance, the successful candidate will provide the product development business with advice in relation to UCITS and ETFs, taking into consideration fund structures, costs and charges and distribution strategy. Furthermore, the job holder will ensure product governance controls are reviewed and … the firm at industry forums. Candidates are sought with at least 7 years related buy-side compliance work experience with strong knowledge of Irish UCITS and PROD regulation. Hays Specialist Recruitment Limited acts as an employment agency for permanent recruitment and employment business for the supply of temporary workers. By more »
