Consultant, Compliance - Asset Management

  • Location: Dublin, Leinster, Ireland
  • Salary: Competitive
  • Job Type: Full time

The Compliance Consultant within a Risk/Compliance team operating in a successful international Asset Management, reporting to the Head of Compliance with a focus on distribution activity.

The role offers excellent exposure to someone looking to develop their career in an asset management based compliance role.  The position will provide technical research and consultation to support compliance programs and activities in all of Northern’s international units but with particular focus on Europe and within a global framework.  Acting as a partner to both Compliance team members and managers and staff in the business units, the incumbent will provide consultation and advice on regulatory matters.  

The key responsibilities of the role include:

  • Providing technical research and consultation to support compliance programs and initiatives

  • Being familiar with Northern’s strategy, businesses, clients and products in order to provide timely and accurate regulatory and compliance advice to business partners on regulatory requirements

  • Review of marketing materials to support cross-border sales activity

  • Support regulatory inquiries and examinations

  • Assist in the development of compliance frameworks and related policies and procedures

  • Develop and implement training programs with subject matter experts, and Corporate Compliance.

  • Providing ad-hoc project support as required, and support senior members of the department in the identification, planning and execution of the Department’s activities.

  • Provide back up support to the wider compliance team as and when required, including guidelines monitoring.

  • Attendance and reporting to various committees

The successful candidate will benefit from having:

  • Proven experience in advising and/or monitoring of asset management business
  • Detailed knowledge of FCA Handbook, and working knowledge of International regulations e.g. MiFID II, UCITS, SEC
  • Working knowledge of cross-border marketing rules
  • Strong background in and understanding of investment management products and services with in depth understanding of securities, cash and derivatives market instruments
  • Prior experience in the interpretation and analysis of complex investment management agreements, investment management guidelines, and industry standards e.g. IMMFA, Money Market Fund rating providers
  • Analytical ability to identify and understand problems and provide effective solutions
  • Highly motivated individual who has a proven record of using initiative to resolve problems
  • Ability to make decisions on their own and also to be a team player and effective communicator to ensure that issues are appropriately resolved
  • Excellent verbal and written communication skills
  • Desire to stay in front of new business/regulatory developments
  • Excellent organizational and analytical skills.

The competencies that would be valuable for this role include:

  • Communication, written and verbal
  • Client focused relationships
  • Time management
  • Decision making/judgement
  • Analytical skills
  • Persuading and influencing.

About Northern Trust


For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 16,500 employees globally. We serve the world’s most-sophisticated clients – from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.

 

We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.

 

Northern Trust proudly cultivates a diverse workforce, to serve our diverse client base. We strongly believe that diversity of experience contributes to a broader collective perspective that will consistently lead to a better company. We encourage applications from the best regardless of ethnicity, gender, gender identity, age, nationality, disability, sexual orientation, education, socio-economic background, parental and caring status, or religion.

 

As of June 30, 2018, Northern Trust Corporation had:

$135 billion in banking assets

$8.1 trillion in assets under custody

$10.7 trillion in assets under custody/administration

$1.1 trillion in assets under management

 

Dublin, Leinster, Ireland Dublin Leinster IE