SENIOR COMPLIANCE MANAGER & DESIGNATED PERSON FOR REGULATORY COMPLIANCE
The individual will be accountable for demonstrating adherence with all Irish and foreign legal and regulatory requirements. The scope of the role includes the following duties in respect of the head office in Dublin but also in respect of all group entities located in Cayman, Malta & the UK (as well as any future group entities):
· Acting as the designated Person for PCF-39F: Regulatory Compliance
· Maintaining an effective compliance framework such that the firm can operate in a compliant manner. This framework and related procedures should ensure that there are adequate lines of defense within the company
· Regularly performing a compliance risk assessment to enable a risk-based approach when determining the scope of the monitoring programme
· Maintaining a monitoring programme that takes into consideration all areas of the firm’s activities. The monitoring programme should establish priorities determined by the compliance risk assessment ensuring that compliance risk is comprehensively monitored
· Maintaining adequate policies & procedures to ensure compliance with the firm’s legal & regulatory obligations
· Addressing communication and guidance from the CBI in respect of compliance and regulatory matters
· Ensuring all regulatory and legal filings are made on time including to the Central Bank of Ireland and other competent authorities
· Guiding and educating the firm’s management and staff on compliance matters and updating knowledge on recent regulatory changes
· Conducting and overseeing internal reviews or audits periodically to ensure that compliance procedures are followed
· Conducting or directing the internal investigation of compliance issues
· Maintenance of internal checklists and templates
· Providing monthly written compliance reports* to the firm’s Risk Committee
· Providing quarterly written compliance reports* to the Board of Directors
· Knowledge & Experience Required
· Detailed understanding of fund & management company operations
REQUIREMENTS
· Detailed understanding of fund & management company operations
· Minimum of 10 years compliance / regulatory experience in a regulated financial service business in the investment management industry
· Excellent interpersonal and management skills
· Clarity of analysis and of expression, both verbal and oral
· Business Degree or equivalent
· Professional qualification (e.g. legal / accounting / CFA / ACOI)
· Must meet minimum requirements of Central Bank of Ireland fitness and probity rules in respect of a PCF holder
