Compliance Assistant

  • Competitive 75 to 85k plus benefits
  • London, England, United Kingdom London England GB
  • Permanent, Full time
  • First Trust Global Portfolios Limited
  • 22 May 18 2018-05-22

Innovative and fast growing ETF promoters seeking Compliance Assistant to join London based team to support the Assistant General Counsel with compliance related matters in respect of the UK regulated AIFM and MIFID business, Irish domiciled UCITS and AIF products, and European cross-border distribution business.

Experience Required

MIFID and / or AIFMD regulatory compliance within a UK asset manager
UCITS cross boarder distribution compliance
Familiarity with UCITS (Irish or Luxembourg) compliance and investment restrictions
[SEC / FINRA experience – not essential]

Reporting Line

Senior Report: General Counsel and Deputy General Counsel (US based)
Intermediate Report: Assistant General Counsel (UK based)

Compliance Roles and Responsibilities

  • Support FTGP business with compliance matters and implementation
  • Monitor EU and UK regulations and FCA compliance changes
  • Carry out compliance reviews on a monthly, quarterly, semi-annual and annual basis as required; including
    • Inducements
    • Transaction Reporting
    • Best execution
    • Financial promotions
    • Market conduct
  • Monitor and review compliance manual and compliance procedures, and update as required
  • Work alongside US compliance and assist in US compliance related mattered as required
  • Assist in training new joiners on the firm’s compliance and regulatory matters
  • Assist in preparing compliance meetings
  • Assist as required with ad-hoc compliance related queries
  • Assist in preparing compliance related board materials

Marketing Material Review from a UK legal / compliance perspective

  • Support Europe marketing team
  • Review all  European marketing materials including:        
    • Fact sheets
    • Pitchbooks and presentations
    • Articles and Interviews
    • Marketing commentary
    • Updates to all of the above
  • Review DDQs
  • Support US marketing team with US marketing material for UK, Lux, Netherlands and Ireland.