Job Location Dublin
Consultant Donal Whelan
Posted 10 January 2018
A global Financial Services firm who operate in the Investment Management sector are recruiting for a Compliance Manager for their Dublin office. Reporting to the CRO, the Compliance Manager will be responsible for providing a comprehensive business-focused compliance service to the Irish entity by advising the business on compliance matters, implementing regular, scheduled reviews of compliance against current regulations and providing compliance training, where appropriate to staff. The Compliance Manager’s role will include the implementation of a comprehensive compliance monitoring function with regular reviews for the Irish Branch reporting findings to the Branch Management Committee and Board.
Key Responsibilities of the Compliance Manager:
- Devise and implement a comprehensive, risk-based compliance monitoring programme which reflects the requirements of the CBI, FCA and other relevant regulations impacting the business
- Ensure that all monitoring activities are undertaken in a timely manner and that all issues identified are communicated to the relevant individuals and monitored until the issue is resolved
- Maintain a detailed knowledge of the relevant rules and legislation and provide advice and guidance to business areas
- Provide high quality compliance training and education to all relevant individuals
- Take responsibility for small-scale projects and participate in larger projects and liaise with the wider Compliance team, as required
- Review of investment restrictions reporting and other compliance reporting
- Determine the method and timetable for resolution of breaches of investment restrictions and other identified compliance issues in consultation with affected parties
- Report quarterly on compliance with investment restriction and other compliance matters to the Board
The Compliance Manager will have good analytical skills and industry awareness including of emerging regulation to identify the impact on the business areas and developing strategies and ability to work proactively with business areas to meet all new regulatory requirements. You will also have good knowledge of Investment Management industry and associated compliance requirements. Understanding of UCITS and AIFM requirements for an investment management business, fund structures and management company structures will be a key requirement.
If you are a Compliance professional considering a move, please don't hesitate to contact Donal Whelan at Lincoln Recruitment Specialists. Our Compliance team recruit for Compliance roles across all levels of the Financial Services sector; Head of Compliance, Compliance Manager, Compliance Officer, Compliance Advisor, MLRO, AML Manager, AML Officer, Regulatory Analyst.
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