Head of Compliance PCF 12
Consultant Claire Dunwoody
Date posted 13 December 2018 2018-12-13financial-services Level 3 Custom House Plaza 2, IFSC Dublin 1 Robert Walters
A global investment management firm, headquartered in the UK is in the process of establishing a new management company regulated by the CBI as an AIFM, a UCITS Management Company and carrying out MIFID individual portfolio management services. The new entity will act as an EU based investment manager, enabling the Group to continue to access the EU marketplace following Brexit. The role will require a detailed understanding of the institutional asset management industry.
- Review investment restrictions reporting and other compliance reporting
- Determine the method and timetable for resolution of breaches of investment restrictions and other identified compliance issues in consultation with affected parties
- Monitor the follow up of compliance issues or breaches that have been reported
- Liaise with Investment Manager, the Administrator, the Depositary and other appointees on all compliance related matters
- Report quarterly on compliance with investment restriction and other compliance matters to the Board (based on reports received from the Investment Manager's compliance unit)
- Escalate immediately any material issues to the Board and the Group Head of Compliance
- Ensure that a log in respect of investment breaches, pricing errors, complaints and compensation payments are maintained (by the relevant delegates or service providers) at the offices of the Compliance Officer and which will be available for inspection by the Central Bank
Key Competencies Required for Role:
- A detailed understanding of the institutional asset management industry
- Strong knowledge of the technical aspects of fixed income, credit and currency markets and equities within developed and emerging markets
- Knowledge of global macro and emerging markets
- Strong risk mitigation and compliance driven mind-set balanced with the need to be flexible, adaptive and empathetic when dealing with senior professionals from across the business
- Excellent numerical aptitude and Excel skills such that the individual can supplement supplied reporting with their own quantitative assessment
- Proven sound judgement, with an ability to challenge senior management
- An ability to deliver balance and objectivity in written and spoken qualitative assessments of compliance and risk data
- Ability to work without day-to-day direction is important and the role holder will take a proactive approach to the establishment of procedures, monitoring, governance, risk identification and escalation
- Ability to work to tight deadlines and prioritise multiple tasks accordingly
- Strong written skills, attention to detail, communication and interpersonal skills with a proactive and innovative approach
This is an excellent opportunity for a Head of Compliance to join a successful organisation based in Dublin.
If you are interested in the Head of Compliance role, please apply today or contact Claire Dunwoody on the details provided for more information.