ACA Division: ACA Compliance Europe Ltd
Job Title: Compliance Consultant (UCITS)
Position Type: Permanent, Full Time
Position Location: London
Salary: Competitive, dependent on experience
Reports to: Director of Regulatory Consulting
ACA is a regulatory consultancy for the wholesale finance sector working with a broad range of clients that include hedge funds, fund of funds, long-only managers, private equity, venture capital, institutional brokerage, capital introduction and investment advisers. You will undertake an extremely varied and rewarding role becoming central to our client advisory team and managing a portfolio of clients. In addition, you will be our in-house UCITS expert and therefore it is expected that you will in time become the UCITS technical lead operating with a specific focus in this area. You are likely to have experience of working from within a UCITS environment where you will have developed in-depth technical knowledge in the UCITS sector and a sound understanding of the applicable regulatory regime. Whilst this is not a business development position, the standard of your work and your attention to client service levels will reflect our offering and high standards will be required to support the further development of our business.
Summary of Responsibilities:
You will be responsible for your own portfolio of clients and assisting / advising them in all regulatory matters pertaining to their business, including all aspects relevant to UCITS. Specifically, this could include, but is not limited to;
• Undertaking compliance reviews, assessments and presenting recommendations to Compliance Officers, compliance staff and senior management;
• Providing commercially sound regulatory solutions and advice to the senior management of a wide range of entrepreneurial regulated clients;
• Managing or participating in regulatory projects, such as annual compliance audits or mock examinations;
• Conducting research, writing articles, and/or making internal or client presentations on UCITS compliance specific issues.
• Keeping up to date with current regulatory developments and informing clients as necessary.
• Subject to client demand there is also the opportunity to work with US colleagues on US regulatory matters / projects (SEC/ CFTC).
Skills and Profile
• Entrepreneurial attitude, with a desire to help build a business and help clients do the same;
• Highly motivated, dedicated to upholding ACA’s high quality standards and customer service focus.
• Able to think commercially about sometimes complex regulatory issues and able to work exacting client demands / deadlines.
• Capable of working on-site at client offices using their own initiative – alone or as part of a team.
• Clear, diplomatic and comprehensive communicator;
• Strong analytical skills; organised and detail oriented with the ability to multi-task and prioritise effectively.
• Professional and calm under pressure – you will have to work in different environments often with the senior management of regulated firms.
Qualifications and experience
• The successful candidate is likely to be professionally educated and/or a compliance practitioner with proven, in-depth technical knowledge in the UCTIS sector
• Strong academic background (i.e. degree level or recognized professional qualification), in addition to the CFA Investment Management Certificate – Units 1 and 2 (or equivalent as determined by ACA);
• Sound working knowledge of the Financial Services and Markets Act 2000, the Markets in Financial Instruments Directives, the Undertaking for Collective Investment in Transferable Securities Directives, and related FCA rules and guidance;
• 5 years plus relevant experience.
Interested candidates should direct their resume to Mariana Iscaro at