Joint Managing Partner
Funds & Investment Management | Executive
DP Regulatory Compliance - ManCo
Job ref: 50332
LocationDublin City Centre
SectorFunds & Investment Management
Job typePermanent
Salary€60,000 - €120,000
A fantastic opportunity has arisen for a DP, Regulatory Compliance role with our client, a specialized ManCo based in Ireland. This dynamic position offers the chance to join a firm that is expanding its footprint across Europe, providing a wide range of services in a rapidly growing market.
This company is dedicated to maintaining the highest standards of compliance within the asset management and funds industry. With a strong focus on professional development and a collaborative work environment, the company values integrity, teamwork, and a client-centric approach.
The Job
The Candidate
This company is dedicated to maintaining the highest standards of compliance within the asset management and funds industry. With a strong focus on professional development and a collaborative work environment, the company values integrity, teamwork, and a client-centric approach.
The Job
- Fulfil the role of PCF (DP Reg Compliance) and monitor compliance with all applicable regulatory standards.
- Prepare, review, and advise on the Policies and Procedures Manual, particularly regarding Compliance Policies and Group Policies.
- Project-manage the Governance system and portal.
- Coordinate and review the policies and procedures of the funds under management.
- Partner with the Group Compliance Teams to identify synergies relating to risk and compliance across the Group.
- Participate in monthly Compliance Committee meetings and prepare Compliance Risk Assessments.
- Review investment compliance of funds under management in collaboration with the Dublin team.
- Execute the Annual Compliance Plan and conduct periodic surveillance on the Policies and Procedures Manual.
- Advise and guide staff on compliance matters, including delivering new starter Compliance training.
- Assist in the review of the risk management framework and marketing material for the funds under management.
- Support the MLRO with AML reviews and analyze the impact of upstream regulatory changes on the business.
- Prepare reports and updates for the Board, Central Bank, Senior Management, and other stakeholders.
- Lead the Compliance Associate and ensure effective work delivery, providing ongoing training and development opportunities.
The Candidate
- Demonstrable experience in a Compliance role, ideally within the asset management or funds industry.
- Significant experience with regulations and guidance issued by the Central Bank of Ireland and other relevant European regulatory bodies (ESMA).
- Thorough understanding of the Central Bank of Ireland’s Fund Management Company Guidance (CP86) requirements, AIFMD, and UCITS.
- Knowledge and experience in AML/CDD/KYC.
- Experience managing the relationship with the Central Bank of Ireland, including day-to-day matters and thematic reviews.
- Strong report writing skills.
- Professional Compliance or governance qualifications would be ideal.
