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Interim Head of Compliance (12 month contract) - Fund Manager

Ref: 9222921

  • High Competitive Package
  • 15 Apr 2021
  • Dublin (Central)
  • Perm

>Leading Super Manco with over €100Billion in AUM and a wide range multi asset classes across fixed income, ETFs, equities, debt, alternatives and regional investment strategies, currently has a great opportunity for an Interim Head of Compliance, 9 - 12 month Fixed Tern Contract. Excellent opportunity for an experienced CF / PCF level to gain exposure within leading fund manager. Great opportunity to join an EMEA Compliance team multiple regional offices, this AIFM, UCITS Management Company is authorised to carry out “MIFID type” individual portfolio management services

Key Responsibilities

• Managing the Company’s relationship with regulatory authorities in particular the Central Bank of Ireland. • Managing the Company’s framework for compliance and ensuring that it remains effective and appropriate to the Company’s activities including those delegated and outsourced. • Identifying, assessing, monitoring and reporting of compliance and regulatory risks pertaining to the Company, its delegates and outsourced service providers and making recommendations or initiating actions, • Maintaining adequate and effective policies and procedures to ensure compliance with Group’s standards / regulations and legislation. • Monitoring and assessing the adequacy and effectiveness of the measures, policies and procedures put in place by the Company to meet its regulatory obligations and the actions taken to address any deficiencies • In collaboration with other Designated Persons ensure that the strategies, policies and directions issued by the board in Ireland are acted upon • Ensuring the timely and accurate completion of regulatory filings carried out by delegates and service providers and by the Company • Acting as the primary lead in the monitoring, assessment and implementation advisor for upstream regulatory developments in Ireland and the EU. • Undertaking the role of MLRO for the Company and its funds under management and acting as primary contact for all financial crime related matters. • Providing compliance training and know-how to colleagues and Board members.

Candidate Profile:

• Post graduate qualifications in Compliance and degree • Solid expertise in compliance within the asset management or funds environment and with a number of years’ experience interacting and reporting to senior management. • Detailed knowledge of the Central Bank of Ireland and the regulatory environment in Ireland with direct experience in liaising directly with regulators in particular the Central Bank of Ireland and other EU regulatory regimes an advantage. • Strong technical knowledge of UCITS/ AIFMD/ MiFID /EMIR and Anti-Money Laundering / Counter Terrorist Financing legislation and regulations. • Experienced in compliance monitoring, testing, oversight of third parties directly and remotely. • Excellent written / report writing skills with strong attention to detail, with the ability to deliver balance and objectivity in written and spoken qualitative assessments on Compliance and regulatory matters. • Hands-on, solutions focused team player capable of working to tight deadlines and prioritizing multiple tasks accordingly. • Compliance driven mind-set balanced with the need to be flexible, adaptive and empathetic when dealing with senior professionals from across the business. • Proven sound judgement, with an ability to challenge and provide solutions to complex problems and challenging situations. • Strong integrity • Proactive and capable with a natural gravitas to gain respect and credibility both internally and externally with your expertise and value add capability. For more details on this Interim Head of Compliance , please contact Estelle Davis at Brightwater Executive on or email [email protected].