Exclusive - DP Regulatory Compliance - AIFM
Job ref: 48903
LocationDublin City Centre
SectorFunds & Investment Management
Job typePermanent
SalarySee description below
The Panel is exclusively engaged to source a DP Regulatory Compliance on behalf of an AIFM in Dublin city centre that have a Global presence.
The successful candidate will fulfil the Pre-Approval Controlled Function (PCF) of 39F Regulatory Compliance and the role will also include some basic Distribution oversight elements
The role will report directly into the Chief Risk Officer and you will work closely with all members of the Irish AIFM team. The AIFM has a growing presence in Dublin and this position will continue to evolve to adapt to future growth and meet ongoing regulatory obligations.
Responsibilities:
Requirements:
The salary for this role is negotiable depending on experience and includes excellent bonus and benefits package including hybrid work arrangements.
Please contact Liam Murphy if you meet the key criteria and you wish to apply.
The successful candidate will fulfil the Pre-Approval Controlled Function (PCF) of 39F Regulatory Compliance and the role will also include some basic Distribution oversight elements
The role will report directly into the Chief Risk Officer and you will work closely with all members of the Irish AIFM team. The AIFM has a growing presence in Dublin and this position will continue to evolve to adapt to future growth and meet ongoing regulatory obligations.
Responsibilities:
- This role will include, amongst other things, assisting the Firm to meet its regulatory obligations as set out under CBI Rules (CP86) and in compliance with AIFMD regulations and within the Firm’s Programme of Activity.
- The individual must be a self-starter who can work collaboratively with the team locally and Compliance teams based in UK and USA.
- Performing elements of the Compliance Monitoring Programme and maintain the Compliance Manual and Compliance policies and procedures for an AIFM authorized by the CBI.
- Oversight of the outsourced activities including reviewing and assessing the compliance programs of Service Providers.
- Preparation and submission of regulatory reports to CBI, including Annex IV
- Proactively keeping up to date with regulatory developments and provide positive and practical assistance to the Firm on regulatory compliance matters.
- Prepare and present periodic reports on Compliance monitoring and oversight activities to the Board.
- Managing the Firms compliance calendar and acting as a point of escalation on product compliance issues, breaches and complaints related to funds under management.
- In conjunction with the Designated Person (‘DP’) for Distribution, the Board and any Distributor, assist with the implementation of the Distribution oversight framework and maintenance and oversight of a distribution strategy for each fund.
- Conduct the oversight of the distribution strategy for each fund which will include the marketing strategy and approach, Target markets and channels, including the competitive landscape The jurisdictions into which distribution is proposed, whether immediately or in due course.
Requirements:
- Capable of meeting the expectations of holding the designated person status or hold the PCF-39F designation
- Ideally the candidate should have professional or compliance qualifications or experience, and/or be degree-educated
- A motivated self-starter, inquisitive, pro-active, possessing strong presentational and inter-personal skills
- Previous experience of UK/EU/US financial services compliance, in an asset management or funds environment
- Knowledge and experience of regulatory reporting, especially Annex IV
- Knowledge of AIFMD, Fund Management Company Guidance (CP86), and European Union marketing rules and requirements.
The salary for this role is negotiable depending on experience and includes excellent bonus and benefits package including hybrid work arrangements.
Please contact Liam Murphy if you meet the key criteria and you wish to apply.