EMIR and MiFID II transaction and trade reporting to the regulator, periodic SEC filings (e.g. 13F) and other reporting requirements as required.
Effective implementation and monitoring of pre / post-trade compliance with respect to investment restrictions (including UCITS and segregated mandate) within the order management system. A proven working knowledge and experience of the Charles River order management system would be valuable, but not essential.
Shareholder disclosure monitoring (UK and international) and Takeover Panel monitoring (including actual submission of notifications to companies and / or the regulator confirming shareholdings broken down by per fund / per mandate).
Keeping abreast of regulatory developments (UCITS, MiFID II and EMIR).
Co-ordinating the annual review of Investment Management Agreements ("IMAs") across all segregated clients and ensuring the firm fully complies and undertakes all tasks and obligations pursuant to the IMAs.
Skills & Experience Required
The role is a practical and hands on role where the applicant will be expected to "do" and not only advise.
Strong technical knowledge of the prevailing operational compliance and regulatory reporting environment, together with a proven working experience with respect to UCITs, MiFID II and EMIR compliance and regulatory rules.
A keen and natural interest in maintaining an up-to-date awareness of any developments with respect to UCITS, MiFID II and EMIR compliance and regulatory rules, as and when they arise.
Knowledge of the UK, Lux and Irish regulatory and governance requirements related to pooled funds is preferred but not essential, if overall operational compliance and regulatory reporting knowledge is sufficiently strong
A multi-asset product knowledge with 5+ years of proven operational compliance and regulatory / transactional reporting experience within an asset management or other relevant environment is essential
Demonstrable experience of identifying and implementing steps designed to improve efficiency, automation, effective controls (from a first line of defence perspective) and processes with respect to operational compliance and transaction reporting as part of a robust risk governance and control framework.