Fineco Asset Management DAC (‘Fineco AM’) is a Dublin based Asset Management Company, and a subsidiary of FinecoBank S.p.A. (“FinecoBank”). FinecoBank (“Fineco”) is a leading European bank with a 20-year history and a fully digital DNA with a branchless approach since the start. Fineco is one of the banks with the widest products range available. Fineco have developed a truly one-stop-solution which includes trading, investment and payment services. Fineco have developed a 100% proprietary platform for trading and investment which covers all customer needs from trading listed and OTC product to investment product such as mutual funds and ETF.
Fineco AM, which started its operations in May 2018, is authorized by the Central Bank of Ireland as a UCITS & AIFM Management Company with a MIFID top up, and it currently has approximately €34bn in assets under management. Fineco AM is a competence centre- specialised in the management of fund-of-funds, single strategy funds, as well as Structured Solutions Funds. In addition to portfolio management activities, all key supporting and controlling functions, such as Compliance, Risk, Finance and Legal, are also performed locally. Fineco AM started with 5 employees and has grown rapidly over the past 6 years with a headcount currently sitting at over 80 FTEs and growing quickly (half of our headcount was hired during the pandemic period). Currently Fineco AM manages 3 UCITS Umbrella Funds - in Luxembourg (1 fund) and in Ireland (2 funds).
Main Responsibilities:
The Senior Compliance Manager will be responsible for assisting the Chief Compliance Officer in developing, maintaining and updating the compliance framework of the Company with focus across policy and procedure setting, Compliance Risk Assessments, developing the Compliance Culture within the firm, oversight & control, development and executing of the firm’s annual Compliance Plan, providing expert compliance advice to the portfolio managers and the firm generally, identification and assessment of regulatory changes, and preparing regular and ad hoc reports for the Board of Directors and other governance forums. The ideal candidate will have a background in Compliance in asset management and, preferably, direct experience in a Super Manco (AIIM/ MiFID top up).
The Compliance Manager’s duties will include but will not be limited to the following:
* Reviewing of FAM marketing materials and liaising with FinecoBank in their respective review of FAM marketing materials and filing of same with CONSOB; managing and overseeing the compliance review process to ensure that the marketing materials are compliant with the ESMA regulations.
* Managing (and preparing) Compliance Risk Assessments, evaluating compliance related topics with an independent mindset and proposing appropriate improvements;
* Overseeing of trade monitoring (UCITS/AIFs) and other regulatory monitoring (e.g. MAR);
* Assisting the CCO in developing and executing the Annual Compliance Plan, and the periodic surveillance on the most important Policies (MAR, Personal Dealing, ABC, Best Execution, Conflicts of Interest, GDPR, AML, Fitness and Probity Standards), following up in the appropriate execution of any compliance recommendations;
* Strong oversight and hands-on approach, with an independent, challenging mindset in dealing with relevant delegates of the Firm (Investment Managers, Distributors, Administrators, Transfer Agents);leading discussions with these parties as required;
* Providing advice and support to the portfolio managers and staff more generally in compliance related topics, and leading discussions regarding enhancements and improvements to monitoring systems;
* Overseeing the Compliance Analyst who prepares upstream regulatory changes and analysis of impact on the business, providing training as appropriate;
* Able to apply and implement the Group Policies in the local Irish regulatory framework;
* Support the CCO and the Compliance team as required
* Leading and overseeing the process of the preparation of reports and updates to the Board, the Central Bank of Ireland, the CSSF, senior management, group Compliance function and any other stakeholders;
* Strong knowledge of all applicable UCITS/AIFM/MiFID legislation/regulations; and
* Leading and implementing new processes with relevant departments for MiFID/AIFM firm (e.g. transaction reporting, suitability, due diligence, investment advice, etc.)
Key Skills, Experience & Requirements
* Strong leadership qualities;
* 5+ years' relevant Compliance experience gained in an asset management company or similar organisation
* Accounting or legal degree (preferred) or business degree
* LCOI qualification or willingness to study for qualification preferred
* Deep knowledge of the UCITS Regulations
* Strong knowledge of financial products and financial markets
* ESG experience/ industry knowledge an advantage
* Knowledge and experience of MIFID and AIFMD
* Excellent verbal and written communication skills
* Additional language skills (esp. Italian) an advantage
* Strong planning, problem solving
* Well organised with strong time management and relationship skills
* Be enthusiastic and eager to learn, self-starter
* Facility with Italian language could be a helpful skill in relation to the marketing reviews
Fineco Asset Management DAC is proud to be an Equal Opportunity Employer:
We are committed to enforcing non-discrimination of candidates based on their religion, race, ethnicity, age, gender (including pregnancy and gender identity) disability, sexual orientation, civil or family status, or for being a member of the Traveller community. We embrace and celebrate diversity in our workforce, and we are committed to creating an inclusive environment for all of our employees.
Equal Opportunity Employer (EOE) Statement:
The Fineco Group is proud to be an Equal Opportunity Employer and is committed to creating a working environment that is safe and inclusive, based on mutual respect and valuing every kind of diversity, offering equal work opportunities.
Seniority level
* Seniority level
Mid-Senior level
Employment type
* Employment type
Full-time
Job function
* Job function
Administrative, Consulting, and Finance
* Industries
Business Consulting and Services and Financial Services
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