Funds Operations Manager, Compliance
This role is responsible for the relationship management between the company and the Compliance Departments of Global Alternative Fund Managers. Working as part of the Compliance team, ensuring that the Fund Managers understand the regulatory compliance procedures relating to the marketing of their funds across the GCC.
Previous experience with Funds is essential, prior knowledge of relevant regulations is advantageous but not essential.
Responsibilities
- Maintain up-to-date knowledge of relevant regulations and laws in order to effectively manage compliance risks relating to the marketing of alternative funds and other financial products to potential investors.
- Liaise with clients to obtain required documentation for registration of funds with local regulators and coordinate submission of documents to or via local affiliate companies.
- Be the point of contact for client’s compliance queries as they relate to the requirements of marketing funds and other financial products.
- Review of marketing materials in line with regulatory requirements
- Review of potential investor classification documentation.
- Provide training to investor relations employees and respond to internal queries regarding company policies and procedures as they relate to compliant marketing of alternative funds and financial products.
- Assist in responding to requests from external parties on regulatory and compliance matters.
- Due diligence and KYC analysis of potential clients to be onboarded to the company, including screening using WorldCheck.
- Assisting with review of client funds materials, performing conflicts analysis and summarising terms for internal records.
- Maintaining and/or monitoring relevant trackers to report on progress to Head of Compliance.
- Overseeing and training junior team members (this role will lead to team management).
Outstanding candidates for this role will possess the following skills, knowledge, and experience:
- 5+ years of experience in asset management, fund administration or similar experience in the financial services industry
- Good knowledge of alternative investment funds and familiarity with fund documentation
- Excellent oral and written communication skills in English
- Attention to detail
- Strong values and ethical standards
- University degree
In addition, advantage will be given to applicants holding:
- Relevant professional qualifications
- Knowledge of applicable regulations in the broader GCC region
- Prior experience of interaction with Global Fund Managers
- Understanding typical investment strategies of private equity, real estate, private debt, infrastructure and venture capital funds