Compliance Manager – Asset Manager

My client is an Asset Manager and they are seeking a Compliance Manager with UCITS experience to join their growing team in Dublin City Centre.

They are currently in the process of extending its authorisation to become a Super ManCo. You will be reporting to the Company Chief Compliance Officer (CCO)/ DP for Regulatory and Compliance and working under the supervision of the Compliance Managers, to support the continuous growth of the Company.

You will be responsible for assisting the Chief Compliance Officer in developing, maintaining and updating the compliance framework of the Company with focus across policy and procedure setting, Compliance Risk Assessments, developing the Compliance Culture within the firm, oversight & control, development and executing of the firm’s annual Compliance Plan, providing expert compliance advice to the portfolio managers and the firm generally, identification and assessment of regulatory changes, and preparing regular and ad hoc reports for the Board of Directors and other governance forums.

Duties:

  • Preparation of Compliance Risk Assessments, evaluating compliance related topics with an independent mindset and proposing appropriate improvements
  • Developing and executing the Annual Compliance Plan, and the periodic surveillance on the most important Policies (MAR, Personal Dealing, ABC, Best Execution, Conflicts of Interest, GDPR, AML, Fitness and Probity Standards), following up in the appropriate execution of any compliance recommendations
  • Strong oversight and hands-on approach, with an independent and challenging mindset in dealing with relevant delegates of the Firm (Investment Managers, Distributors, Administrators, Transfer Agents)
  • Providing advice and support to the portfolio managers and staff more generally in compliance related topics
  • Assisting in the review of upstream regulatory changes and analysis of impact on the business, providing training as appropriate
  • Assisting in the preparation of reports and updates to the Board, the Central Bank of Ireland, the CSSF, senior management, group Compliance function and any other stakeholders
  • Able to be ahead of the curve in ever changing compliance environment regarding ESMA, CBI and CSSF views, regarding regulatory interpretations
  • Assist with licence extension process as part of the Company’s internal project group and external consultants and preparation of documents for submission to the CBI in this regard
  • Advise the firm on specific regulations (MiFiD/AIFM) including completing gap analyses as and when needed
  • Strong knowledge of all applicable UCITS/AIFM/MiFID legislation/regulations

Experience:

  • 7+ years’ relevant Compliance experience gained in an asset management company or similar organisation
  • Accounting or legal degree (preferred) or business degree
  • LCOI qualification or willingness to study for qualification preferred
  • Deep knowledge of the UCITS Regulations
  • Strong knowledge of financial products and financial markets
  • Knowledge and experience of MIFID and/or AIFMD
  • Excellent verbal and written communication skills
  • Strong planning, problem solving
  • Well organised with strong time management and relationship skills

For confidentially assured chat, call Louise on 01 676 0505 to find out more, or click apply below.

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Tagged as: Asset Manager, Compliance, Compliance Manager, Compliance Officer, legal, regulatory compliance, Risk Compliance & Legal, UCITS

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