Compliance Officer – Private Equity

Job Reference: AMI.CBOI.AIFMD.2020

Salary: €55000 - €75000 per annum

Salary per: Annum

Job Duration:

Job Start Date:

Job Description

Compliance Officer – Private Equity

€55,000 – €75,000

New Role

Leading Asset Manager | State of the Art offices

A new role has been created with a sophisticated and high calibre international asset manager with a significant presence in Dublin.

The role is a mix of corporate governance and compliance and is a reflection of the growth and diversification of the organisations Irish and European interests.

The role will report to the Chief Compliance Officer and offers a broad remit to the successful applicant:

  • Assisting the CCO in managing the governance requirements for all of their regulated entities in Ireland, including compliance with AIFMD CP86 and the Corporate Governance Code for Investment Firms.
  • Providing day-to-day KYC and AML support to the businesses in Ireland in addition to supporting the Global AML working groups.
  • Assisting the CCO in managing their AIFMD platform in Ireland including various the fund service providers.
  • Providing real time advice to the credit investment and trading personnel.
  • Providing real time advice to the fund marketing and product strategy teams on regulatory and internal policy issues
  • Implementing global, Irish and UK compliance policies and procedures as relevant
  • Identification, escalation and management of internal and external conflicts of interest issues
  • Coordinate with Group Compliance on market abuse and financial crime prevention, information barrier, transactional due diligence, wall crossing issues and restricted list analysis.
  • Monitor, analyse and interpret new rules and regulations, identify and address any gaps between existing processes and new regulatory requirements
  • Participate in regulatory / industry initiatives relating to new regulations and other issues relevant to the asset management business, coordinating with the wider Legal/Compliance team
  • Draft policies and procedures and advisory bulletins relevant to supporting the business
  • Conduct business focused compliance training regarding new and existing regulations and firm policies.
  • Perform pre and post trade compliance reviews including general testing and maintenance of the compliance program in this area.
  • Assist in preparing responses to regulatory inquiries as necessary
  • Coordinate with colleagues in the Global Legal/Compliance team and other control groups on initiatives including surveillance, risks assessments, testing’s and audits.
  • Maintenance of accurate records and details required to prepare management and ExCo / Board reports.

Key experience and attributes

  • Minimum of 3 years of strong regulatory compliance or corporate governance experienced gained within an asset management / investment banking / law firm / accountancy firm environment.
  • Strong working knowledge of CBOI regulations relevant to credit, loans, fixed income business and trading operations. Legal experience / background useful but not essential.
  • Strong working knowledge of AIFMD and corporate governance in an asset management / investment-banking environment.
  • Enthusiasm, motivation and the ability to be proactive.
  • Solution-oriented self-starter with high integrity.
  • Solid ability and strong desire to work as part of an effective and collaborative team
  • Ability to make sound judgements and simultaneously manage various issues and projects in a fast-paced and high performance environment.
  • Consistent attention to detail.
  • Sound interpersonal skills and relationship building abilities.
  • Effective communication skills including very strong written communication skills for report writing and analysis.
  • Methodical, structured and rigorous approach to deliver.


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