We are working EXCLUSIVELY with a leading private investment firm who are looking for a Compliance Manager to join the Dublin office-based team.
THE RESPONSIBILITIES:
Perform compliance risk assessments to determine the focus of monitoring and advisory activities.
Execute and assist the Designated Persons with development and implementation of the compliance monitoring plan.
Support and advise the entity on regulatory change including impacts to funds under management and the wider group.
Work with the group CCO as required to support companywide initiatives.
Preparation of reports, presentations, memos, procedures, policies etc. to be provided to the Boards.
In conjunction with the other named DPs, assist with the execution of the delegate oversight requirements including review/approval of delegate policies where applicable.
Coordinate and lead specific compliance projects including review and implementation of new regulations within the entity.
Lead oversight of fitness and probity due diligence for the entity
Responsible for the dedicated regulatory supervision mailbox of the entity including coordinating responses and required actions to satisfy requests.
Ensure relevant compliance policies and procedures are in place as required, kept up to date and adhered to
Provision of compliance training to employees in the firm.
Oversee investment breaches/operational risk events log for potential compliance issues.
Liaising with the Central Bank of Ireland, responding to their queries, preparation, and submission of filings etc
Assisting with review of marketing/registration approvals and regulatory notifications
Liaise with Investment Managers, Administrators, Depositary’s and other service providers.
Work closely with other group functions
Reviewing and approving marketing materials for distribution
Advise senior management and staff on compliance matters/ issues.
EXPERIENCE REQUIRED:
Sound knowledge and experience with UCIT’s and AIF’s (Private Equity, Real Estate, Hedge Funds, Venture Capital etc.)
Experience across Regulatory Compliance and AML.
Suitable qualifications for the role.
Significant experience in regulations/ guidance issued by the CBI and other relevant European regulatory bodies (ESMA) including a thorough understanding of the Central Bank of Ireland’s Fund Management Company Guidance (CP86) requirements, AIFMD, UCITS.
Experience of dealing with and managing the CBI relationship including day to day matters as well as thematic reviews.
For further information please contact Marcus Courtney
