An large independent provider of fiduciary services is looking to recruit a Fund Compliance Assistant Manager/Manager, to be responsible for the day to day administration and supervision of a defined portfolio of Funds in an efficient, accurate and timely manner.
- Respond promptly to all client communications in an accurate, consistent and professional manner
- Assist in the provision of compliance reports to the boards and filing of annual returns etc.
- Ensure Compliance Procedures are updated as and when required for the business policy / procedural changes, GFSC AML or other rules and regulations.
- Review and record Asset Reconciliations, Valuations, Investment Restriction checks, Contract note dispatch, Contract note content, Share Register accuracy. Note any breaches or errors identified.
- Record every Breach, Price Error and complaint reported & retain evidence/documentation then report to GFSC if required.
- Produce Compliance reports for all licensees and company schemes and monthly reports to Custodians/Trustees.
- Assist management on setup of new Funds and licensees. Prepare New Business Packs and obtain relevant CDD.
The desirable candidate will have the following attributes:
- High level of knowledge and experience in a Fund Compliance Officer role
- Understand different types of investment product
- Relevant compliance qualification or relevant number of years’ experience in a Fund Compliance Officer role
- Good communication skills and ability to develop effective relationships at all levels
- Effective organisational and planning skills
- Accuracy and attention to detail
- Proficient in all relevant IT programmes