Consultant Morgan Mc Donagh
Date posted 03 January 2018Level 3 Custom House Plaza 2, IFSC Dublin 1 Robert Walters
A fantastic interim compliance manager opportunity has arisen with an international fund manager based in Dublin but with offices across the U.S. and Europe. They are seeking to hire experienced compliance manager who is well versed in MiFID II and product governance. Experience working with international regulators such as the Securities and Exchange Commission (SEC) is highly desirable.
Key responsibilities of the compliance manager:
- Liaising with and reporting to the various regulators in line with reporting requirements
- Liaising with the Company’s lawyers & compliance consultants both in Ireland and abroad and certain of its services providers
- Assisting with the development and implementation of a Compliance Training Program including providing and delivering compliance training as required
- Performing regular compliance checks in line with the Continuous Compliance Monitoring Program on compliance related areas
- Monitoring and investigating all reported breaches of the various conduct of business rules to which the company and its subsidiaries must comply and reporting any issues arising e.g. regarding client money rules, regulatory filings etc
- Monitoring all Warnings/Violation Reports to ensure that all reported breaches of legal and client constraints/restrictions are being actively addressed
- Representing the division head from time to time at board meetings, committee meetings and at various industry committees
As the compliance manager you will have significant experience within the compliance, legal or audit function within investment management. You will have an excellent understanding of MiFID and the implications of MiFID II. Ideally, you will possess or will be pursuing the ACOI Professional Diploma in Compliance or CFA Level 1. You will also demonstrate excellent analytical and numerical skills and excellent communication skills.
If you are interested in this compliance manager position based in Dublin, please apply today or contact Morgan McDonagh on the details provided for more information.