Compliance Officer Investment Funds

  • Negotiable
  • Contract
  • Dublin
  • Posted 3 weeks ago

Compliance Officer – Investment Funds Company

Summary of the role:

The purpose of the role is to work with the business and peers within the compliance function to ensure that regulatory matters are managed in a professional manner by providing support, advice and the sharing of knowledge both to the business and to the wider compliance function within the group and clients. 

 

The Compliance Department:

The Compliance Department exists to provide advice, support and guidance on all regulatory matters as they apply to the business, the management team and employees of the group.  This includes all matters pertaining to the Central Bank of Ireland as well eas matters communicated by Group compliance in respect of european laws and regulations.  The Compliance Department works closely with Territory Compliance within Ireland as well as Group Compliance in Europe and the Operational Risk teams (ORPC) to support the business in complying with all regulatory matters.

 

Responsibilities:

  • Develop, implement, maintain and monitor Compliance Policies, Procedures and Monitoring Plan
  • Act as a point of contact for the business for AML-related escalations
  • Quality assurance (driving effectiveness and efficiency)
  • Collaboration with other group teams – various operational and functional departments, e.g.  Risk and Legal on regulatory compliance matters
  • Prepare and present to Head of Compliance periodic reporting required by Group, Business (e.g. ExCo / Board reporting, CRMS) and Regulators
  • Design and execute compliance monitoring checks and procedures to ensure that the business is operating within their regulatory risk appetite
  • Provides advice on regulatory implications on product, business strategies and activities, change projects
  • Oversight and investigate errors and breaches

Requirements

  • Degree level or equivalent
  • Professional Compliance qualification,
  • Detailed knowledge and understanding of CBI rulebooks and local requirements
  • Knowledge of the Fund administration and custody business, hedge fund services and third party administration
  • Proven  Compliance experience, including AML and Compliance Monitoring
  • Minimum of 2 years Compliance experience
  • Liaison with clients and/or their representatives
  • Communicates Effectively
  • Demonstrates Respect & Trust
  • Drives Continuous Improvement & Innovation
  • Exhibits Sound Judgement and Solves Problems
  • Knows industry and company
  • Pursues self-development
  • Takes initiative and assumes responsibility

 

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Barbara Donnellan

Barbara Donnellan

  • Banking & Finance Manager
  • barbara@edenrecruitment.ie