Head of Compliance / PCF (DP Regulatory Compliance) - Funds & Asset Management
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.
Key Responsibilities:
* 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
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