Head of Compliance / PCF (DP Regulatory Compliance) - Funds & Asset Management
Key Responsibilities
- 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 duties include:
- Preparing, reviewing, advising on Policies and Procedures Manual, in particular regarding Compliance Policies and Group Policies
- Project-management of the Governance system and portal
- Coordinating and reviewing the policies and procedures of the funds under management
- Working with the group compliance team and sitting on the Compliance Steering Committee. Prepare a Compliance Risk Assessment and evaluate with an independent mindset the Company Compliance Culture, proposing appropriate improvements
- Partner with the Group Compliance Teams and look for synergies relating to risk and compliance across the Group
- Participate in the monthly Compliance Committee meetings
- Working with team reviewing investment compliance of funds under management
- Executing the Annual Compliance Plan, and the periodic surveillance on the Policies and Procedures Manual
- Advise and guide staff in relation to compliance matters
- Delivery new starter Compliance training
- Plan and implement regulatory compliance training
- Assist in the review of the risk management framework
- Assist in the review of marketing material for the funds under management
- Assist the MLRO with AML reviews
- Assist in the review of upstream regulatory changes and analysis of impact on the business, providing training as appropriate
- Preparing reports and updates for the Board, the Central Bank, Senior Management, Group Reporting and any other stakeholders
- Take responsibility for leading the Compliance Analyst and ensuring effective work delivery
- Pro-actively handle any performance issues with the team members
- Provide ongoing training and development opportunities for team members
Required Skills and Experience
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 writing skills.
Required Qualifications
Professional Compliance qualifications e.g. Professional Diploma in Compliance (LCI) or working towards/ willingness to complete.
Key competencies
- Ability to work under limited supervision
- Positive team player
- Enthusiastic and client centric attitude
- Strong leadership ability, leading by example
- Self-starter with a strong work ethic
- Honesty and integrity
- Strong communication skills both written and verbal
References available on request
