Exclusive - Legal & Compliance Manager - Proprietary Investment Management Company
Job ref: 50230
LocationDublin City Centre
SectorFunds & Investment Management
Job typePermanent
SalaryUp to €60,000
The Panel is exclusively engaged to source a Legal & Compliance Manager on behalf of a Growing Global Investment Manager in Dublin city centre on a permanent basis
The job function for this position is to provide legal and compliance support for the Legal and Compliance function on general commercial matters and to the front office in respect of sales and marketing activities. The candidate will provide support with the regulatory approval and listing of new funds and product on the exchange traded notes platform. The Candidate will also provide support to the Management Company and governance of funds on the platforms.
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
The job function for this position is to provide legal and compliance support for the Legal and Compliance function on general commercial matters and to the front office in respect of sales and marketing activities. The candidate will provide support with the regulatory approval and listing of new funds and product on the exchange traded notes platform. The Candidate will also provide support to the Management Company and governance of funds on the platforms.
Responsibilities
- Provide policy and procedural updates that reflect the requirements under the Central Bank of Ireland’s Fund Management Company guidance, on-going regulatory developments and any other requirements as determined by the Boards, including SLAs.
- Compile monthly reports for the Designated Person with responsibility for Regulatory Compliance and provide support to all Designated Persons including support and co-ordination of monthly key performance indicator reports and other ad hoc support as appropriate.
- Assist with the ongoing identification, assessment, monitoring and reporting of Operational and Fund Risk Undertake Risk and Control Self-Assessments (RCSAs)
- Maintain Key Risk Registers for the Entities and the Funds, Monitor KRIs and support the Designated Person for Fund and Operational Risk to report against Key Risks
- Review and undertake updates to the Risk Management Process, Policies, Procedures and Risk Management Framework as required, and assist with the management and reporting of incidents understanding root causes, process deficiencies and support to the Head of Compliance in the implementation of control enhancements.
- Provide support to the Head of Compliance in relation to the analysis and implementation of incoming European Regulation and any compliance matters and attendance at weekly sales and strategy meetings from a compliance monitoring perspective.
- Review of marketing materials to ensure compliance with relevant Irish regulation/codes of practice.
- Provide primary support for the ETF ranges domiciled in Ireland, including with supervision/support, reviewing and updating prospectuses, KIID/KID documentation and, if so desired, funds agreements.
Requirements
- Previous experience working in an asset management company or fund management company with strong project management experience.
- Proven track record in dealing with compliance-related and /or fund matters.
- Product development experience desirable but not essential provided there is an interest in doing this type of work.
- Ability to work on their own within a small team in Ireland, take ownership of projects and work in a cross-functional, dynamic and outcome-oriented manner.
- Excellent academic record is expected.
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
