Compliance Manager - Reputable Global Asset Management Entity
Job ref: 49494
LocationDublin City Centre
SectorFunds & Investment Management
Job typePermanent
SalaryUp to €60,000
The Panel is currently engaged to source a Compliance Manager on behalf of a reputable Global Asset Management Company in Dublin city centre on a permanent basis
In this role you will assist the Chief Compliance Officer in developing, maintaining and updating the compliance framework of the Company with focus across policy and procedure setting, Compliance Risk Assessments, developing the Compliance Culture within the firm, oversight & control, development and executing of the firm’s annual Compliance Plan, providing expert compliance advice to the portfolio managers and the firm generally, identification and assessment of regulatory changes, and preparing regular and ad hoc reports for the Board of Directors and other governance forums.
Responsibilities
Requirements
The salary for this role is negotiable depending on experience and includes an excellent bonus and benefits package including hybrid work arrangements
Please contact Liam Murphy if you meet the key criteria and you wish to apply
In this role you will assist the Chief Compliance Officer in developing, maintaining and updating the compliance framework of the Company with focus across policy and procedure setting, Compliance Risk Assessments, developing the Compliance Culture within the firm, oversight & control, development and executing of the firm’s annual Compliance Plan, providing expert compliance advice to the portfolio managers and the firm generally, identification and assessment of regulatory changes, and preparing regular and ad hoc reports for the Board of Directors and other governance forums.
Responsibilities
- Preparation of Compliance Risk Assessments, evaluating compliance related topics with an independent mindset and proposing appropriate improvements;
- Developing and strengthening the firm’s approach in building the firm’s compliance culture;
- Developing and executing the Annual Compliance Plan, and the periodic surveillance on the most important Policies (MAR, Personal Dealing, ABC, Best Execution, Conflicts of Interest, GDPR, AML, Fitness and Probity Standards), following up in the appropriate execution of any compliance recommendations;
- Strong oversight and hands-on approach, with an independent and challenging mindset in dealing with relevant delegates of the Firm (Investment Managers, Distributors, Administrators, Transfer Agents);
- Providing advice and support to the portfolio managers and staff more generally in compliance related topics;
- Assisting in the review of upstream regulatory changes and analysis of impact on the business, providing training as appropriate;
- Preparing, reviewing and advising on the policies and procedures of the company, in particular regarding compliance policies and Group Policies, keeping in good order the Compliance Handbook;
- Strong knowledge of all applicable UCITS/AIFM/MiFID legislation/regulations; and
- Implementing new process with relevant departments for MiFID/AIFM firm (e.g. transaction reporting, suitability, due diligence, investment advice, etc.)
Requirements
- Previous Compliance experience gained in an asset management company or similar organisation
- Accounting or legal degree (preferred) or business degree
- LCOI qualification or willingness to study for qualification preferred
- Deep knowledge of the UCITS Regulations
- Strong knowledge of financial products and financial market
- ESG experience/ industry knowledge an advantage
- Knowledge and experience of MIFID and/or AIFMD
The salary for this role is negotiable depending on experience and includes an excellent bonus and benefits package including hybrid work arrangements
Please contact Liam Murphy if you meet the key criteria and you wish to apply
