Head of Compliance / PCF (DP Regulatory Compliance)
The Head of Compliance will oversee the entity's compliance with all applicable regulatory standards, advise on future and changing regulatory matters, and assist with reporting to the Board of Directors.
Key Responsibilities:
* Prepare, review, and advise on Policies and Procedures Manual, particularly regarding Compliance Policies and Group Policies
* Project-manage the Governance system and portal
* Coordinate and review policies and procedures of the funds under management
* Work with the group compliance team and sit on the Compliance Steering Committee
Compliance Duties:
* Prepare a Compliance Risk Assessment and evaluate the Company Compliance Culture
* Partner with the Group Compliance Teams to identify synergies relating to risk and compliance across the Group
* Participate in the monthly Compliance Committee meetings
* Review investment compliance of funds under management
* Execute the Annual Compliance Plan and periodic surveillance on the Policies and Procedures Manual
* Advise staff on compliance matters
* Deliver new starter Compliance training
* Plan and implement regulatory compliance training
* Assist in reviewing the risk management framework
* Assist in reviewing marketing material for the funds under management
* Support the MLRO with AML reviews
* Analyze upstream regulatory changes and provide training as appropriate
* Prepare reports and updates for the Board, Senior Management, and other stakeholders
* Lead the Compliance Analyst team and ensure effective work delivery
Requirements:
* Demonstrable experience in a Compliance role, preferably in asset management or funds industry
* Significant experience in regulations issued by CBI and European regulatory bodies (ESMA)
* Thorough understanding of Central Bank of Ireland's Fund Management Company Guidance (CP86) requirements, AIFMD, UCITS
* AML/CDD/KYC knowledge and experience
* Experience dealing with CBI relationship, including day-to-day matters and thematic reviews
* Strong writing skills
Qualifications:
* Professional Compliance qualifications, such as Professional Diploma in Compliance (LCI)
Competencies:
* Ability to work under limited supervision
* Positive team player attitude
* Enthusiastic and client-centric approach
* Strong leadership ability
* Self-starter with a strong work ethic
* Honesty and integrity
* Strong communication skills