Job Title: Legal & Compliance Associate
Department: Legal & Compliance
Location: London/Dublin
Entities: HANetf Management Limited & HANetf EU Limited
Reports to: Head of Legal and Compliance, Ireland
HANetf Background
HANetf is Europe’s first independent full service, third-party provider of UCITS Exchange Traded Funds (ETFs). HANetf offers a fully managed solution for the growing number of US and Asian ETF issuers and traditional asset managers seeking to enter the European ETF market. In addition to UCITS ETFs, HANetf has 3 Irish Issuers to market exchange traded notes (often referred to as ETNs or ETPs). HANetf’s innovative platform includes product development, compliance, capital markets, sales, marketing and distribution.
Founded by two of Europe’s leading ETF entrepreneurs, Hector McNeil and Nik Bienkowski, HANetf brings together an experienced team with the operational and regulatory experience necessary to manage the complexities of launching, managing and distributing ETFs and ETNs. HANetf established its presence in Ireland in 2018 by setting up a proprietary management company and launching an ICAV. In the time since, this ICAV has grown to 23 sub-funds and over €1.7 billion in assets under management and HANetf launched a second ICAV in the summer of 2024. HANetf has more ambitious plans in Ireland and an opportunity has arisen to join a fast-growing White Label Platform to provide legal, compliance and commercial support to regulated Irish-based entities.
The successful candidate will play a pivotal role in the support of a MIFID firm and Management Company in Ireland. This includes legal, compliance and designated person support as part of the distribution of exchange traded products and maintenance of the European UCITS ETF platforms. This role will suit a ‘hands-on’ commercial person who thrives in a dynamic and high growth environment and can lead projects from start to finish.
Job Purpose
This role is an ideal opportunity for an ambitious candidate looking to embed themselves into a fast-growing management company in Ireland. The job function for this position is to provide legal and compliance support for the HANetf group’s Legal and Compliance function on general commercial matters and to the front office in respect of sales and marketing activities. The candidate will provide support with the regulatory approval and listing of new funds and products on the exchange traded notes platform. The candidate will also provide support to the Management Company and governance of funds on the platforms.
Key Accountabilities and Scope
The responsibilities will include:
* Policy and procedural updates that reflect the requirements under the Central Bank of Ireland’s Fund Management Company guidance, ongoing regulatory developments and any other requirements as determined by the Boards, including SLAs;
* Compile monthly reports for the Designated Person with responsibility for Regulatory Compliance in HAN;
* Provide support to all Designated Persons including support and co-ordination of monthly key performance indicator reports and other ad hoc support as appropriate;
* Review of monthly reporting and working collaboratively with partners/sponsors, key delegates, service providers and colleagues;
* Assist with the ongoing identification, assessment, monitoring and reporting of Operational and Fund Risk, undertake Risk and Control Self-Assessments (RCSAs);
* Maintain Key Risk Registers for the Entities and the Funds, monitor KRIs and support the Designated Person for Fund and Operational Risk to report against Key Risks;
* Review and undertake updates to the Risk Management Process, Policies, Procedures and Risk Management Framework as required;
* Assist with the management and reporting of incidents understanding root causes, process deficiencies and support to the Head of Compliance in the implementation of control enhancements;
* Review ancillary agreements, NDAs, low budget service agreements and rebates;
* Provide support to the Head of Compliance in relation to the analysis and implementation of incoming European Regulation and any compliance matters;
* Attendance at weekly sales and strategy meetings from a compliance monitoring perspective;
* Attendance at monthly due diligence meetings with investment managers delegates;
* Review of marketing materials to ensure compliance with relevant Irish regulation/codes of practice;
* Provide European (including UK) compliance and regulatory support;
* Primary support for the ETF ranges domiciled in Ireland, including with supervision/support, reviewing and updating prospectuses, KIID/KID documentation and, if so desired, funds agreements;
* Liaising with external counsel and clients to set up all documentation relating to ETFs and ETCs;
* Secondary support for the ETC platform.
Skills and Qualifications
In terms of experience:
* Qualified lawyer or experienced paralegal with 1-4 years of experience would be ideal but is not a requirement;
* Between 1 to 4 years’ experience working in an asset management company or fund management company with strong project management experience;
* Proven track record in dealing with compliance-related and/or fund matters;
* Product development experience desirable but not essential provided there is an interest in doing this type of work;
* Ability to work on their own within a small team in Ireland, take ownership of projects and work in a cross-functional, dynamic and outcome-oriented manner;
* Excellent academic record is expected;
* Attention to detail very important along with policy and procedure drafting skills;
* Hard-working and energetic self-starter with an enthusiastic attitude;
* Exceptional organisational and inter-personal skills, comfortable dealing with senior management;
* Ability to multi-task and meet tight deadlines as well as a pragmatic approach to problem-solving.
Other Personal Attributes Required
* Liaising in a proactive, problem-solving manner with other functional areas on compliance matters;
* Strong Work Ethic;
* Ability to quickly grasp and solve complex problems;
* Ability to deal with and manage change in a fluid environment;
* Ability to examine issues from multiple perspectives;
* Optimistic, positive attitude; a “can-do” approach;
* Display a high degree of interpersonal and political savvy, tact and diplomacy with all constituencies;
* Strong sense of urgency;
* Unquestionable integrity;
* Proactive and willing to work across multiple departments to help the company achieve its objectives.
The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.
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