About the job
Senior Compliance Manager AIFMD, UCITS
I am looking to speak with Senior Compliance officers/ Managers who are looking to gain exposure and move into and fulfil the role of PCF, DP for Regulatory Compliance with a growing investment firm.
The ideal 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.
Responsibilities
1. Preparing, reviewing, advising on Compliance Policies and Group Policies
2. Management of the Governance system and portal
3. Coordinating and reviewing the policies and procedures of the funds under management
4. Working with the group compliance team and sitting on the Compliance Committee
5. Participate in the monthly Compliance Committee meetings
6. Working with the team in Dublin reviewing investment compliance of funds under management
7. Executing the Annual Compliance Plan
8. Advise and guide staff in relation to compliance matters
9. Assist in the review of the risk management framework
10. Assist the MLRO with AML reviews
11. Preparing reports and updates for the Board, the Central Bank, Senior Management
Requirements
1. Experience in a Senior Compliance role, ideally in asset management or funds industry
2. Experience in regulations issued by the CBI and ESMA
3. CP86, AIFMD, UCITS
4. AML/CDD/KYC knowledge and experience
5. Experience of dealing with and managing the CBI relationship including day to day matters
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