Our client is a global firm operating in the Asset Management industry. For the Irish management company within the Group we are seeking a:

 

Compliance Officer

Main responsibilities

The Company is authorised as a UCITS Management Company with the Central Bank of Ireland and manages an Irish domiciled UCITS platform. 

This role will be focused on implementing and monitoring the regulatory compliance framework of the Company and its UCITS under management. As part of the Compliance Team, the candidate will interact with all areas of the business. 

In particular, he/she will be responsible for the following activities:

• Support the Head of Compliance (HoC) in executing the Company’s day-to-day compliance activities and that of its UCITS platform, including the implementation of the compliance plan and framework to ensure compliance with all regulatory obligations (including but not limited to UCITS, CP86, GDPR, AML, IAF and Outsourcing guidelines);
• Assist the HoC in preparing periodic written Compliance and AML reporting to the Board of Directors;
• Support the HoC in ensuring that Company policies and procedures, compliance calendars, and relevant registers are up to date;
• Perform compliance risk assessments in order to identify compliance vulnerabilities and risks;
• Participate in the Company’s regulatory projects and initiatives;
• Support the HoC in the preparation of regulatory reporting for both the Company and UCITS platform;
• Assist in coordinating board and committee meetings;
• Perform on-going monitoring and testing of internal control processes with accompanying remediation actions where issues are identified;
• Analyse regulatory and legislative developments (horizon scanning);
• Conduct monitoring and oversight activities to ensure effective implementation of the Compliance and Business plans in respect of internal functions and delegated entities;
• Assist the team to promote a culture of compliance throughout the Company.

Candidate profile

• A Bachelor’s degree (or equivalent) and/or relevant qualifications;
• At least 3 years’ experience in funds/asset management environment with relevant experience in a compliance or legal function;
• Knowledge of the UCITS framework and the CBI regulatory environment relating to investment funds;
• Flexible with the ability to work collaboratively in a small team and independently when required;
• Proactive in nature with the willingness to address issues in a timely and efficient manner;
• Comfortable working in a fast-paced and dynamic environment;
• Willing to critically analyse processes and suggest improvement;
• Must have excellent verbal and written skills with the ability to communicate effectively with both internal and external stakeholders.

Location

Dublin

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