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CEO & Head of Compliance – Investment Manager start up (exclusive assignment)

REF J44801
Location: Dublin City
Employment Type: Permanent
Salary: Negotiable

CEO & Head of Compliance – Investment Manager start up (exclusive assignment) Dublin or Southwest, Ireland

We have retained an exclusive assignment for our client who is seeking a CEO & Head of Compliance to drive the set up of their operations in Ireland. They are considering Dublin or Southwest currently. The right candidate will take the lead on a variety of functions while managing risk and ensuring the client is operating within their compliance standards. My client is setting up a new super management company regulated by the CBI as a AIFMD, UCITS Management Company which will carry out MIFID individual portfolio management services in Ireland. It will act as the EU investment manager for the group.

As a Director and Chief Executive Officer, the role holder will be engaged as the lead individual primarily responsible for oversight of the various delegated and outsourced functions, supervising those outsourced functions effectively and managing those risks. The model employed and the oversight framework to be put in place to support it will leverage the current model employed across the Group.

The Role:

• Being the primary point of compliance contact with the CBI, clients and the Company’s material external services providers
• Advising and assisting the relevant responsible persons in complying with the UCITS and AIFMD Regulations
• Monitoring of Irish regulatory issues (together with external counsel) to ensure that the Company remains in compliance with applicable rules
• Submission of required regulatory filings
• Co-ordinating regulatory examinations as notified by the CBI or other regulatory agencies as appropriate
• Management of policies and procedures
• Maintaining the firms gifts and entertainments register
• Involvement in new business developments
• Compliance approval of marketing activities and promotional material
• Reviewing prospectus and service provider agreements
• Identification of compliance risks, and executes monitoring
• Recording and reporting of breaches of procedures
• Carrying out compliance training and competence & licensing
• Acting as a Money Laundering Reporting Officer
• Contribution to Group Compliance reporting

The Candidate:

• min 10+ yrs. in Investment, Funds, or Administration Compliance, at a senior level
• Deep understanding of investment management techniques
• Excellent verbal & written communication and inter-personal skills
• Analytical and technical skills with attention to detail
• Sound judgement, with an ability to challenge senior management
• Good knowledge of financial products
• Strategic thinker and influencing skills

If you are interested in this position, please send a CV in confidence to Anne Keys at the enclosed address.

Interested in this position?

Speak with Anne Keys about this role today.