Compliance Associate
We are seeking a skilled Compliance Associate to join our Asset Wealth Management compliance advisory team in Dublin. The successful candidate will work closely with business partners, Legal, and compliance colleagues to provide compliance advisory services covering portfolio management, trading, sales, and marketing activities.
Key responsibilities include:
1. Providing compliance support and representation on strategic initiatives
2. Reviewing and approving financial promotion materials
3. Performing daily compliance surveillance of GSAM portfolios for regulatory requirements and applicable policies and procedures
4. Assisting in the production of board reports
5. Participating in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
6. Developing and drafting compliance policies and procedures, outlining firm policies, regulations, and best practices
7. Ensuring breaches and complaints are logged and covered the compliance aspect of the sign off
8. Creating compliance training programs
9. Reviewing and approving due diligence on third-party distributors
10. Preparing, organizing, and delivering compliance trainings
11. Miscellaneous projects as required
To be successful in this role, you will need:
* 3 years of regulatory risk or compliance experience (asset management experience preferred)
* A highly motivated risk and control-focused individual with excellent judgment
* Knowledge of investment instruments, including derivatives
* General compliance knowledge and familiarity with CBI and FCA regulations, MiFID, UCITS, AIFMD, and SFDR
* Effective analytical and organizational skills
* Strong verbal and written communication skills
* Ability to handle multiple tasks with attention to detail and work under pressure
* Ability to work both independently and as part of a team
If you are passionate about compliance and have the necessary skills and experience, we encourage you to apply for this exciting opportunity.