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 primarily 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 act as an 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/issues identified 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 the standards of independent testing; 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 when required in projects to refine the investments compliance processes and the tools used for this purpose, with a keen 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 understanding of the business and to develop and maintain a robust compliance culture.
* Be a Compliance subject matter expert, providing proactive and timely day-to-day BAU advisory support and assistance principally 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 skills and experience of leading all or part of a compliance team are preferred.
* Experience of being the key / lead advisor to the investments and trading teams on some or all directly related compliance subjects.
* Experience of investments and trading elements of asset management products preferably including all of UCITS, AIFS, and segregated account capabilities.
* Knowledge of equity and fixed income instruments, including derivatives, and various investment strategies. Knowledge of Multi-asset investing would be preferred.
* Subject matter expert / knowledge of Asset Management products / services and risks associated.
* Experience of ESG aligned investment activities would be preferred.
* Strong knowledge of regulatory frameworks in Ireland, the EU, and the UK.
* Teamwork skills – the candidate must be flexible in his/her work style and be able to work collaboratively with stakeholders and colleagues at all levels
Competitive salary + benefits
Please get in touch :
Joe Keane
Red Island Recruitment
Mobile