Compliance Associate - Hybrid
Key Responsibilities of a Compliance Associate:
- Monitor investment restriction and guideline breaches
- Perform reviews and consider potential investment vehicles against the relevant regulations and fund documentation in relation to the funds.
- Liaise with the fund manager in relation to investment issues
- Support regular liaison with the trustee of the funds, maintenance of logs and review of regulatory reports
- Monitor quarterly investment management questionnaires and oversight of due diligence of investment managers
- Review marketing materials to ensure compliance with regulatory requirements
- Assistance in the review of fund documentation ahead of launch and on an ongoing basis.
- Develop and maintain policies and procedures supporting a culture of integrity, risk management and excellence
- Assist with the identification of potential risks and financial services compliance issues associated with new products, services and jurisdictions in the Investments business.
- Support the governance process relating to the Investments business
- Conduct periodic compliance monitoring assessments of the business and where necessary, any third party providers (for instance, administration firms/trustees).
- Developing and conducting periodic training for Investments personnel relating to regulated activities.
- Assisting with the management of regulatory matters and compliance issues, including correspondence with regulators, overseeing regulatory examinations; implementation of new regulations etc
Key Requirements of a Compliance Associate:
- Highly motivated with a passion for compliance in the investment funds and/or asset management industry
- A broad understanding of Irish (and EU) Investments regulation in particular MiFID, UCITS & AIFMD
- Good knowledge of fund structures, different fund types and different assets class would be an advantage
- Minimum of three year’s compliance experience.
- Takes initiative and ownership of responsibilities assigned
- Ability to prioritise activities while working on multiple tasks and achieve target deadlines
- Ability to work effectively within a small, fast growing team and assist in the development of that team.
- Strong interpersonal skills to communicate with internal and external clients at all levels. Fluent English essential.
If this opportunity sounds like something you would be interested in, reach out to email@example.com