04 Nov 2019

Fund Compliance Assistant Manager/ Compliance Manager

Ref 32739

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.

Key duties:

  • 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

 

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