Senior Compliance Analyst – ManCo

  • Permanent
  • Dublin

About the job

My client is seeking a Senior Compliance Analyst. The successful candidate will play a crucial role in ensuring that our operations comply with all relevant regulations and internal policies. This position offers an exciting opportunity to work in a dynamic environment and contribute to the success of our organization.

Your Role:

  • Review and analyse correspondence received from third parties such as the Central Bank of Ireland and service providers to ensure timely allocation and response.
  • Conduct daily oversight of the investment monitoring process, and escalate where applicable.
  • Oversee and maintain the core compliance regulatory registers; Breaches, Complaints, Errors.
  • Complete reviews as allocated from the compliance monitoring programme and ensure they are completed within the required time frame. Follow-up implementation of findings / recommendations e.g. AML, AIFMD, UCITS, Outsourcing as well as deliverables for market units.
  • Develop a strong understanding of the business, operating environment and fund structures.
  • Liaise with the Compliance Team on the development and implementation of its compliance training programme.
  • Review and monitor employee Code of Conducts and maintain register for completion by new employees and annual attestation.
  • Preparation and facilitation of materials for reporting to the Board on a monthly and quarterly basis.
  • Preparation of monthly and quarterly Compliance reporting.
  • Responsibility for CBI filings/reports
  • Collaborate with the Compliance team and cross company teams on any ad-hoc projects / requests.
  • Work with the Compliance team to develop effective controls, processes and procedures
  • Assist with reviewing and updating risk assessments.
  • Review and maintain documentation such as the Compliance Manual, Policies and Procedures and ensure documents are periodically reviewed and version controlled.
  • Co-ordinate information requests for Themed Inspections from the CBI; other information requests and PRISM interviews.
  • Review AML/CTF risk assessments and provide support to the MLRO to conduct AML monitoring activities.

What you will bring to the table:

  • 3-5 years’ Investment Funds Services industry experience in Europe essential.
  • Deep understanding of UCITS, AIFMD, EU and Central Bank of Ireland regulatory requirements essential.
  • Knowledge and practical experience of the Irish Funds regulatory environment, applicable laws, rules and standards with dedication to continue to develop within this subject matter.
  • Third level degree in Finance or related field desirable.
  • Compliance qualification preferable.
  • Proven experience in Compliance or related area.

What Now?

For a confidentiality assured chat, call Anthony now on 01 676 0505 and click apply below.

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