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Head of Compliance - Fund Manager

Ref: 75946

  • 130,000-150,000
  • 15 Dec 2022
  • Retained

Head of Compliance - Fund Manager

About this Company:

They currently have Irish domiciled UCITS platform with over $9.billion in assets across multiple funds (covering Fixed Income, Real Estate, Equities etc)  with assets coming from third parties as well as the funds seed capital. 

  • With their exciting next chapter and strategic direction to pursue wider asset raising opportunities outside the US, with a primary focus on EMEA they are at a phenomenal stage of notable expansion.
  • With a global footprint in over 15 countries and over 1,000 investment professionals, this fund manager has a unique and distinctive culture and prides itself as a non-political and non-aggressive organisation and deep-rooted risk management culture and a strong track record long term careers with many teams’ members with the firm 8 – 12 years plus.


About this Role:

A hybrid role with new office located in Dublin city centre, you will be party of a  newly established management company, managing their UCITS fund range and other European investment funds. 


The team’s activities focus on:

  • Operational support for the day-to-day activities of the funds including on-going supervision of outsourced service providers
  • Development, management, and servicing of the distribution relationships
  • Management of the governance requirements of the funds
  • Maintenance and development of the fund structure from a legal, compliance and regulatory perspective.

Lead day-to-day compliance activities for their UCITS platform as their Designated Person for Regulatory Compliance for CP86 purposes.

  • Participate in the quarterly UCITS Management Company Board meetings and provide quarterly written compliance reports to the firm's Board of Directors 
  • Participate in the quarterly UCITS Fund Board meetings and provide quarterly written compliance reports to the firm's Board of Directors
  • Regularly performing a compliance risk assessment to enable a risk-based approach when determining the scope of the compliance monitoring programme
  • Develop and implement compliance policies, procedures and training, and monitoring and testing programs for the UCITS and QIF platform
  • Manage product compliance issues related to the UCITS/QIF platform
  • Identify potential areas of compliance vulnerability and risk
  • Monitor regulatory developments related to UCITS/QIF funds and implementing regulatory changes
  • Perform risk assessments of the compliance program for UCITS/QIF funds
  • Liaise with all fund service providers in the United States and Europe
  • Interfacing with regulators with respect to any examinations or inquiries
  • Participate in the review and approval of platform / product marketing
  • Oversee compliance with country licensing and registration requirements
  • Provide support and advice to the business and compliance colleagues on compliance and regulatory matters
  • Support other members of the global compliance team with compliance-related activities as required.



The Ideal Candidate Background and Skills:

  • Extensive Knowledge of the Central Bank of Ireland’s UCITS and AFIMD regulations as well as other global regulatory regimes impacting UCITS. REGULATORY COMPLIANCE (CP86) 
  • Current or previous PCF holder or has the strong ability to step up to PCF and meet minimum requirements of Central Bank of Ireland fitness and probity rules in respect of a PCF holder
  • Previous experience with daily oversight of UCITS and QIF funds.
  • Excellent communicator with ability to communicate effectively with internal and external stakeholders.  
  • Experience with cross border wholesale (retail) distribution of UCITS.
  • Strong management and collaboration skills.  Ability to operate within an international environment with a diversity of cultures.
  • Ability to adapt with rapidly changing priorities and to manage competing tasks in a dynamic environment.  
  • Flexible, strong and self-assured personality, builds connection and trust both within the function and across stakeholders.
  • Forward-looking and thinks beyond the problem in front of them.
  • Comfortable with ambiguity and has the dexterity to adjust as needed.
Remuneration Package
Exceptionally Attractive  Compensation Package, Bonus and Bens 

For a confidential discussion, please contact
Estelle Davis or email Brightwater Executive or click the apply button below.