Compliance Professional Funds Business

  • Negotiable
  • Full Time
  • Anywhere
  • Posted 3 months ago

Compliance Professional Funds Business

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 securities services and funds business. This includes all matters pertaining to the Central Bank of Ireland as well as matters communicated by Group compliance in respect of other jurisdiction laws and regulations. The Compliance Department works closely with Territory Compliance within Ireland as well as Group Compliance in European offices and the Operational Risk teams (ORPC) to support the business in complying with all regulatory matters.


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 business and clients.   




  • Develop, implement, maintain and monitor adherence with the Compliance Risk  Management Framework including 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 BNP Securities Services teams – various operational and functional departments, e.g.  ORPC 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
  • Work with HR and others as appropriate to develop an effective regulatory training program
  • Review and recommend the communication strategy to influence the outcome of proposed regulatory changes
  • Advise and consult business on regulatory laws and regulations and their interpretation through provision of Subject Matter Expertise input to Control Plan formulation and execution
  • Design  and execute compliance monitoring systems 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
  • Participate in Client meetings, providing compliance reporting and advice
  • Oversight and investigate errors and breaches
  • Provide Compliance and AML training
  • Liaise and network with peers in other organisations, attend and actively participate in regulatory focus groups
  • Be responsible for the provision of advice on the regulatory aspects of outsourcing requirements.

 Experience required :

  • Minimum of 5 years Compliance experience preferably working in Funds / Investment operations
  • Detailed knowledge and understanding of CBI rulebooks and local requirements
  • Knowledge of the custody business (including treasury & markets), hedge fund services and third party administration
  • Knowledge of outsourcing requirements
  • Proven  Compliance experience – particularly in undertaking monitoring programme
  • Experience of interaction with the CBI
  • Liaison with clients and/or their representatives
  • Data protection experience


On offer : Permanent role – salary up to €90k region – can be discussed – excellent benefits package                                                              

For confidential discussion, please contact Barbara Donnellan at 01 474 4512

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Barbara Donnellan

Barbara Donnellan

  • Banking & Finance Manager