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 »
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 »
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 »
and projects and effectively prices potential work Drafts external publications and speaks at conferences and events Detailed understanding of MiFiD II, AIFMD, (knowledge of UCITS would be advantageous) and other relevant European and/or US Regulations Review and sign off compliance manuals to a standard that the client is 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 6 Months If this is of interest, please apply and I'll be in touch 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 »
City Of London, England, United Kingdom Hybrid / WFH Options
Hydrogen Group
and Advisory teams Requirements: · Extensive experience in a compliance monitoring role with a specific focus on Asset Management, ideally across investment vehicle types (e.g. UCITS, 1940 Act, Cayman, etc.) · Proven track record of regulations (FCA, SEC, and other jurisdictions) and guidelines relevant to Asset Management firms · In-depth knowledge of more »
and industry lead initiatives in the UK and key European jurisdictions. Deep understanding of regulation and strong technical knowledge of pooled product structures (including UCITS and non-UCITS) across a range of domicilesand jurisdictions Line management experience or a desire to manage a small team Experience in project management Demonstrates more »
range. Non-base currency balances and raise spot FXs to fund/repatriate non-base cash flows. Cash Management: Excess cash into Money Markets UCITS with same-day settlement according to defined targets/ratios. Feeder fund cash levels and ensure full investment into its master fund. Futures Implementation: Roll … delegated portfolios. Role Profile: Emotional intelligence, rational decision-making, problem-solving, and conflict resolution skills. Knowledge of financial instruments including forex, mutual funds/UCITS, and exchange-traded derivatives. Awareness of financial risks associated with order-raising activities. Operational risk management culture with daily controls on operations. Experience in MS 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 »
