Waystone leads the way in specialist services for the asset management industry.
Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide.
With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.
Responsibilities:
Lead the upkeep of the various registers, including filings, regulatory correspondence, conflicts of interest, complaints, ERMA, RoPA, etc.
Assist with the oversight of delegate Service Providers and outsourcing arrangements
Aid in the preparation of Board reports, meetings, due diligence visits, and other reports to suitably advise of compliance risks and issues
Ongoing collaboration with the management of the team mailbox
Work closely with the DP for Regulatory Compliance and engage other units (e.g., Relationship Mgmt. Onboarding, Operations, Risk, Legal, Audit, external advisors), including on the coordination of cross functional strategic projects
Support the Governance Framework by recording and keeping robust processes and procedures
Monitor identified regulatory changes impacting the firm and set appropriate plans against these
Promote an effective training program and strong compliance culture with a focus on developing and delivering consistent conduct standards awareness across business units and locations
Other tasks as necessary from time to time.
Education:
An internationally recognised degree and/or suitable professional qualification, or equivalent.
Experience:
Relevant experience in a compliance team of a FSP (or equivalent), or control function environment, preferably within a Fund Management Company
Knowledge of key regulations e.g. UCITS/AIFMD, SFDR, EMIR/SFTR, AML/CFT, and hot topics
Experience with the CP86 framework is advantageous
Excellent organizational skills and an ability to prioritize multiple tasks concurrently
Strong written and verbal communication skills are essential
Ability to work autonomously and as part of a team
Independent and creative thinker with enthusiasm for further learning and project work