Compliance Manager

About My Client

My client is a Dublin-based UCITS asset management company, a subsidiary of a prominent European bank. The firm has rapidly expanded, currently managing approximately €35bn in assets. Specialising in fund-of-funds, single strategy funds, and Structured Solutions Funds, the company also performs all key supporting and controlling functions locally. With a team that has grown to almost 100 employees, the company is extending its authorisation to become a Super ManCo, obtaining AIFM and MiFID licences.

About the Role

My client are seeking a dedicated Compliance Manager to support the Chief Compliance Officer in maintaining and enhancing the company’s compliance framework. This role involves policy and procedure development, compliance risk assessments, encouraging a compliance culture, and executing the annual compliance plan. The Compliance Manager will also provide expert advice, oversee regulatory changes, and prepare reports for the Board of Directors and other governance forums. This position is ideal for a professional with a background in asset management compliance, preferably with Super ManCo experience.

Key Responsibilities:

  • Conduct Compliance Risk Assessments, offering independent evaluations and improvement suggestions.
  • Promote and develop the firm’s compliance culture.
  • Implement and manage the Annual Compliance Plan, ensuring adherence to key policies such as Personal Dealing, Conflicts of Interest, GDPR, AML, and Fitness and Probity Standards.
  • Maintain strong oversight, interacting with the firm’s delegates including Investment Managers, Distributors, Administrators, and Transfer Agents.
  • Provide compliance-related advice and support to portfolio managers and staff.
  • Review regulatory changes, assess their impact, and deliver appropriate training.
  • Develop, review, and maintain company compliance policies and the Compliance Handbook.
  • Apply and integrate Group Policies within the local Irish regulatory framework.
  • Assist in preparing reports for the Board, Central Bank of Ireland, CSSF, senior management, and other stakeholders.
  • Stay ahead of regulatory changes and interpretations by ESMA, CBI, and CSSF.
  • Support the licence extension process, including document preparation for CBI submissions.
  • Advise on specific regulations (MiFID/AIFM) and conduct gap analyses when required.
  • Implement new processes for MiFID/AIFM firm requirements (e.g., transaction reporting, suitability, due diligence, investment advice).

About You

  • Minimum 5 years of relevant compliance experience in asset management or a similar setting.
  • Degree in accounting, law, or business (preferred).
  • LCOI qualification or willingness to pursue this qualification is preferred.
  • Comprehensive knowledge of UCITS Regulations.
  • Strong understanding of financial products and markets.
  • Experience or knowledge in ESG is an advantage.
  • Familiarity with MiFID and/or AIFMD is an advantage.
  • Excellent verbal and written communication skills.
  • Additional language skills, particularly Italian, are an advantage.
  • Strong planning and problem-solving abilities.
  • Highly organised with effective time management and relationship skills.
  • Enthusiastic, self-motivated, and eager to learn.

What Now

If you are a proactive compliance professional looking to advance your career within a dynamic and growing asset management firm, apply below. Contact Larry for a confidentiality assured chat on 01 676 0505

Tagged as: Asset Management, Compliance, compliance management, regulatory compliance

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