Overview
W&W Asset Management Dublin DAC is currently seeking applications for a Head of Compliance. The role will include the Designated Person for Regulatory Compliance and MLRO.
The Firm
W&W Asset Management Dublin DAC was incorporated in 1999. The firm is authorised by the Central Bank as an AIFM pursuant to the AIFMD Regulations and as an UCITS Manager pursuant to the UCITS Regulations. The Firm actively manages assets across multiple ICAVs with a focus on both Public and Private market strategies.
The firm is wholly owned by the W&W Group. The W&W Group was formed as a result of a merger in 1999 between two long-established companies Wüstenrot, Germany\'s first home loan and savings bank est. 1921 and Württembergische, Germany\'s first pension insurance group est. 1833.
The Role
The successful candidate will bring strong fundamentals to help develop a unique understanding of the inner workings of the Firm. As head of function, you will be responsible for identifying, assessing, advising, monitoring, and reporting on the Firm’s compliance risks to senior management and the Board of Directors. You will also be working alongside other PCFs to ensure the firm is well within its regulatory and mandated requirements.
The Candidate
Should have the following qualities:
Third-level degree (or equivalent qualification) and ideally with the relevant Compliance or legal qualification.
Extensive compliance experience within UCIT and AIFM Manco environments with a deep understanding of funds regulatory requirements, including UCITS, MiFID, AIFMD
Proven leadership capabilities with a track record of inspiring and guiding teams to achieve outstanding results.
Demonstrate a strong ability to evaluate regulations and translate the operational impact as well as enhance processes and continuously develop positive change initiatives within the Firm.
Collaborative, Interpersonal and client-focused individual who demonstrates initiative, adaptability and excellent communications skills
Experience in developing and carrying out a Compliance Monitoring Programme.
Prior PCF experience is highly advantageous
This position is defined as a Pre-approval Controlled Function (PCF). Head of Compliance ("PCF-12"), Designated Person with responsibility for Regulatory Compliance ("PCF-39F") and Head of Anti-Money Laundering and Counter Terrorist Financing Compliance ("PCF-52").
The Responsibilities
The candidate will be required to provide extensive assistance to the Executive Management; this will include but is not limited to the below.
Head of Compliance
Lead the compliance for the Firm further developing and enhancing the compliance monitoring plan and compliance framework
Evaluate the effectiveness of systems and controls within the Firm, providing recommendations for improvement as necessary.
Provide expert advice and assistance on regulatory matters, facilitating compliance with regulatory standards.
Collaborate with cross-functional teams to oversee third-party relationships and ensure compliance with contractual and regulatory obligations.
Represent the compliance function in group-wide initiatives, contributing insights to strategic projects.
Foster a robust organisational compliance culture through training, communication, and engagement initiatives
Fulfil the role of DP Regulatory Compliance and monitor compliance with all applicable regulatory standards and oversee any new requirements/changes to the regulatory environment.
Review and advise on the Programme of Activities and the Firm’s Policies and Procedures, particularly regarding Compliance Policies and relevant Group Policies.
Develop and implement the annual compliance monitoring plan, including testing and reporting.
Manage the Compliance calendar, escalate issues, and promote a strong compliance culture.
Liaise with the Central Bank of Ireland and other regulatory bodies.
Report regularly to the Board of Directors.
Manage the Compliance aspects of the oversight program of the Funds\' delegates (e.g., Fund Administrators and Investment Managers)
MLRO
Maintain and apply an AML/CTF risk assessment framework aligned with regulatory and Group standards.
Lead the annual AML business risk assessment and ensure policies remain up to date with Irish and international requirements.
Deliver AML training to staff and directors; oversee investigations and escalation of suspicious activities.
Submit Suspicious Transaction Reports (STRs) and act as the main contact for AML regulatory reviews and inspections.
Seniority level
Executive
Employment type
Full-time
Job function
Legal
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