Chief Compliance Officer & MLRO – Fund Management
Our Client, a leading Global Asset Manager, is looking for a Chief Compliance Officer for their Irish business based in Dublin with primary responsibility for the ongoing development and operation of the Irish regulatory function. Managing a small team and reporting to the European CCO, duties will include:
- Providing a professional proactive compliance service to the business and advising the senior management team on their existing and ongoing regulatory obligations
- Building on and maintaining an appropriate Compliance framework for the regulated activities undertaken by the Irish business.
- Designing and ensuring delivery of all compliance monitoring including delivery of a regular compliance audits for the funds administered in Dublin.
- Check that adequate policies, procedures and controls are in place to ensure that all parts of the business comply with relevant regulations.
- Approving and sign off all relevant marketing and customer documentation material distributed on behalf of the funds.
- Adopting the local MLRO role including ensuring proper delivery and oversight of AML / KYC procedures, training and new business acceptance
- Preparation of reports and/or presenting as required at the Board Meetings.
- Provision of support for business, operational and regulator change projects to be implemented in respect of the investment activities undertaken locally.
The successful candidate must have gained significant senior compliance experience within a similar funds business or the investment platform industry. You must of course have an in-depth knowledge of Fund Management and all relevant EU & Irish regulations including UCITS, AIFMD, AML, CP86 & MiFID II.
This is a very visible, influential and independent role and as such requires the incumbent to not only be technically strong but also requires strong communication and leadership skills with the ability to interact effectively at all levels with internal and external parties including, auditors and the regulators.
This is an excellent opportunity for an experienced and talented senior compliance executive to join one of the leading Global Asset Managers in a position that will be technically challenging but also allow you the autonomy to develop the Compliance Function.
So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to email@example.com