Compliance Officer – Private Equity
Job Reference: AMI.CBOI.AIFMD.2020
Salary: €55000 - €75000 per annum
Compliance Officer – Private Equity
€55,000 – €75,000
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.