Vacancy Name
Funds Compliance Officer
Employment Type
Full-Time
Location
Role Profile
We have an excellent opportunity for a Funds Compliance Officer to join our dynamic Compliance Team at Mediolanum. The successful candidate will undertake the various tasks required to ensure the Firm's compliance with the applicable regulatory requirements under its associated authorizations. The role requires the candidate to take ownership of and/or support others in the oversight control execution and ongoing monitoring of matters relating to portfolio Compliance. These control tasks will include supporting the trading and investments teams, market abuse controls, review of operational procedures, ad hoc projects or business initiatives such as system developments or improvements.
As part of the Trade and Portfolio Compliance Team, the candidate will interact with all the business teams, particularly the investment, trading and ESG teams and represent the Irish operations to the Mediolanum Compliance Group. The ideal candidate will be comfortable working in a fast-paced and dynamic environment and will have already gained experience in regulatory and compliance frameworks. This is an excellent opportunity to gain a rapid understanding of the compliance obligations and activities as they relate to aspects of our different business lines, as well as be part of a growing team implementing our compliance strategy and philosophy across the organisation.
Duties
1. Support the Head of Compliance to implement and manage the compliance plan and framework to ensure compliance with regulatory obligations (including UCITS, AIFMD, MIFID II, SFDR, MAR, Outsourcing requirements).
2. Interpret, draft, codify, test and execute the compliance rules into the Trade Compliance System, FusionInvest, including ownership, participation and testing in respect of any new system developments.
3. Monitor and resolve the pre and post trade's investment portfolio exception reporting from FusionInvest and collaborate with any relevant stakeholders, as required for resolution.
4. Perform ongoing compliance monitoring and surveillance activities associated with ensuring trade compliance, including Market Abuse & Surveillance monitoring, Monitoring for Best Execution and second line ESG monitoring.
5. Support business projects as required (e.g., regulatory change projects) and/or provide advice to the business to implement or improve the regulatory compliance control environment, especially those impacting trade compliance activities.
6. Analyse regulatory and legislative developments related to funds compliance and assess their applicability and impact to the business.
7. Advise the business on funds compliance matters and the internal control environment to manage funds compliance risks.
8. Perform and coordinate and review initial and ongoing oversight and due diligence of outsourced service providers.
9. Assist in the development and implementation of appropriate policies, procedures and practices to meet existing and upcoming regulatory requirements.
10. Assist in the preparation of funds compliance reporting to senior stakeholders including internal committees, the Board of Directors, Mediolanum Group committees, and IPM clients.
11. Provide training to the business on regulatory compliance risks and internal control frameworks.
12. Assist the team to promote a culture of compliance throughout the business.
Skills & Competencies
1. An Analytical Thinker who understands the regulatory requirements and how to implement them in a practical manner.
2. Ability to respond to guidance, work collaboratively as part of a team and independently as required.
3. Organised individual who can self-manage multiple priorities, routine work and urgent issues as they arise.
4. Display Attention to Detail in all aspects of work and relationships.
5. Developing and managing relationships both internally and externally, establish themselves as a Reliable Point of Contact for all parties.
6. Excellent verbal, written and numeric skills. Italian language skills would be an advantage.
7. Proactive individual who is solutions-focused to resolve issues in a considered and timely way.
Qualifications & Experience
1. Relevant 3rd Level Degree preferably with a Compliance, Financial or Legal content.
2. At least 3 years relevant experience within a similar role.
3. In-depth knowledge of the UCITS, AIFMD, SFDR and Market Abuse rules as well as the general regulatory environment as it pertains to Irish Financial services companies.
4. A formal qualification in Compliance is desirable.
5. Experience in conducting pre/post trade investment compliance is a distinct advantage.
6. Understanding of using PowerBi and/or SQL/VBA is desirable.
Applications Close Date
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