Wallace Myers International Executive Recruitment & Professional Staffing

Alanna Mulcair

Alanna has over 8 years Financial Services recruitment experience at a management level. She is a highly motivated, conscientious and dedicated individual with huge focus on Client/Candidate relationship management.

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Compliance Manager

Dublin City Centre, Dublin
€65000 - €75000 per annum Pension, Health Insurance, Bonus

My Client an expanding Asset Management Company is looking for a Compliance Manager to join their team. The ideal candidate will have a background in Compliance in asset management.

Main Responsibilities:

The Compliance Manager will be responsible for assisting the Chief Compliance Officer in developing, maintaining and updating the compliance framework of the Company with focus across various areas including:

  • 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;
  • Preparing regular and ad hoc reports for the Board of Directors and other governance forums.

The Compliance Manager's duties will include but will not be limited to the following:

  • 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;
  • Able to apply and implement the Group Policies in the local Irish regulatory framework;
  • Support the CCO and the Compliance team as required
  • Assisting in the preparation of reports and updates to the Board, the Central Bank of Ireland, the CSSF, senior management, group Compliance function and any other stakeholders;
  • Able to be ahead of the curve in ever changing compliance environment regarding ESMA, CBI and CSSF views, regarding regulatory interpretations;
  • Back up other Team members as appropriate.

Key Skills, Experience & Requirements

  • 5 years' relevant Compliance experience gained in an asset management company or similar organisation;
  • Honours Bachelor degree;
  • LCOI qualification or willingness to study for qualification preferred;
  • Deep knowledge of the UCITS Regulations;
  • Strong knowledge of financial products and financial markets;
  • ESG experience / industry knowledge an advantage;
  • Knowledge and experience of MIFID and/or AIFMD a plus;
  • Excellent verbal and written communication skills;
  • Additional language skills (esp. Italian) an advantage;
  • Strong planning, problem solving;
  • Well organised with strong time management and relationship skills;
  • Be enthusiastic and eager to learn, self-starter.

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This position was pPosted on 07 Nov 2022

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