Overview
Risk and Compliance Leader - Investments
My client, a Global Asset Management firm, is seeking to hire a Compliance Leader with Investments experience to join their team in Dublin.
The role is primarily responsible for the provision of Risk and Compliance services in support of the portfolio management, trading, and research teams and related middle and back office support functions based in EMEA and APAC and the regulatory aspects impacting similar functions located in other geographic regions.
The role is responsible for all aspects of Risk and Compliance for EMEA located entities and business activities.
Responsibilities
Lead the risk and compliance function and act as the primary regulatory contact with the Central Bank of Ireland (CBI) and other relevant authorities
Manage the provision of advisory compliance services by the investments focused compliance team in support of the EMEA investment, trading and research teams and related support functions, including back and middle office functions whether provided in-house or outsourced
Lead the delivery of appropriate investments compliance services to meet current and anticipated future business needs
Act as an escalation point for investments compliance team members
Recommend and advocate for developing improved monitoring and surveillance concerning the asset management business, particularly as they apply to investments, trading and related support activities
Ensure that findings are discussed with the business managers and that appropriate remedial action is taken, escalating as appropriate
Identify and manage risks and ensure that controls are designed adequately and are evidenced as operating effectively to meet independent testing standards; assist in responding to requests from Risk, Audit, Compliance Testing and other parties
Assist in developing and creating investments compliance related policies and procedures as needed
Ensure appropriate investments compliance assistance for the timely completion of RFPs and due diligence documents relating to investments, trading and related support services as required
Participate in projects to refine investments compliance processes and tools, with a focus on maintaining and improving efficiency and effectiveness
Provide and ensure the provision of appropriate training / awareness activities to investments, trading and related market facing support teams and others as required
Proactively engage with key business, functional and investments and trading team and market facing support function heads to establish a collaborative working relationship and robust compliance culture
Be a Compliance subject matter expert, providing proactive and timely day-to-day advisory support primarily regarding investments, trading and related elements of the business and their support functions
Keep up to date with regulatory changes to maintain and enhance subject matter expertise
Skills/Experience Required
PCF12/14 approved role experience or eligibility
Strong understanding of the Central Bank of Ireland's regulatory framework and processes
Leadership skills – demonstrable experience of leading all or part of a compliance team
Experience as the lead advisor to investments and trading teams on compliance subjects
Experience of investments and trading elements of asset management products, preferably including UCITS, AIFs, and segregated account capabilities
Knowledge of equity and fixed income instruments, including derivatives, and various investment strategies; knowledge of Multi-asset investing is preferred
Subject matter expert in Asset Management products / services and associated risks
Experience of ESG aligned investment activities is preferred
Strong knowledge of regulatory frameworks in Ireland, the EU, and the UK
Teamwork skills and ability to collaborate with stakeholders and colleagues at all levels
Compensation
Competitive salary + benefits
Applications
Please get in touch :
Joe Keane
Red Island Recruitment
Job Details
Seniority level: Director
Employment type: Full-time
Job function: Finance
Industries: Financial Services and Investment Management
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