Joint Managing Partner
Funds & Investment Management | Executive
Compliance Manager - privately owned investment firm
Job ref: 48720
LocationDublin City Centre
SectorFunds & Investment Management
Job typePermanent
Salary€60,000 - €120,000
Our client, a leading privately owned investment firm, is currently seeking a Compliance Manager to join their Dublin city centre based team. The Compliance Manager will support the Designated Person PCF39F for Regulatory Compliance of a SuperMan Co. The successful candidate will monitor the entity’s compliance with all applicable regulatory standards, assist with reporting to the Board of Directors and advise the entity pro-actively on future and changing regulatory matters.
The Job
The Candidate
The Job
- Perform compliance risk assessments using a risk- based approach to determine the focus of monitoring and advisory activities.
- Execute the compliance monitoring plan.
- Work with the group CCO as required to support group initiatives.
- In conjunction with the other named DPs, assist with the execution of the delegate oversight requirements including review/approval of delegate policies where applicable.
- Coordinate and lead specific compliance projects including review and implementation of new regulations within the entity.
- Oversee investment breaches/operational risk events log for potential compliance issues.
- Assisting with review of marketing/registration approvals and regulatory notifications.
- Review product governance and product range, consider impact of AIFMD/UCITS marketing.
The Candidate
- The successful candidate will have demonstrable experience in a Compliance role, ideally in asset management or funds industry.
- Should have significant experience in regulations/guidance issued by the CBI and other relevant European regulatory bodies (ESMA).
- A thorough understanding of the Central Bank of Ireland’s Fund Management Company Guidance (CP86) requirements, AIFMD, UCITS.
- AML/CDD/KYC knowledge and experience.
- Ideally have experience of dealing with and managing the CBI relationship including day to day matters as well as thematic reviews.
- Strong report writing skills.
