Head of Compliance/ Risk – Asset management

  • Excellent
  • Dublin, Leinster, Ireland
  • Permanent, Full time
  • Paragon Executive
  • 16 Oct 17 2017-10-16

A International Asset management company based here in Dublin, Reporting directly to the Board of Directors the Head of Compliance and risk has responsibility for the day-to day compliance function for the company and its subsidiaries.

The Role:

  • Ensuring compliance with UCITS Regulations and Irish Laws, as well as Internal Regulations and Group Procedures
  • Identifying applicable regulations, carrying out risk assessment and suggesting changes to company policies and procedures in order to ensure that compliance risk is adequately monitored and managed
  • Assessing and managing compliance breaches by working closely with the relevant units in order to identify corrective actions
  • Updating and amending the compliance Manual and Plan
  • Suggesting the Managing Director systems and procedures required to identify, measure and assess operational risks, based on the Parent Company’s guidelines
  • Providing advisory and assistance services to the company’s governance and assurance functions in all fields on which the compliance risk has impact (i.e. launch of new products and services)
  • Managing the relations, in agreement with Management, with the Company’s Supervisory Authorities and monitoring fulfilment of periodical regulatory reporting
  • Managing meetings and inspections carried out by Regulatory Bodies
  • Carrying out the annual assessment of compliance and company risks
  • Maintaining relationships with the company’s key main stakeholders (Clients, Brokers, Auditors, Central Bank of Ireland, Fund Administrators and Custodian Banks) Assisting with the regular reporting to the Board of Directors
  • Contributing to the activity of a number of Company committees (Audit, Investment, Compliance and Risk, Counterparty Risk)
  • Drafting the documents for the development of new UCITS products
  • Ensuring that the CBI Fitness and Probity Regime requirements are met
  • Updating AML manual in accordance with new regulations or CBI guidanc
  • Ensuring that Legal Risk is properly monitored and managed by constantly reviewing the company's main agreements (i.e. ISDA Master Agreement and CSA, Transfer Agent Agreements, EMIR Reporting Delegation Agreements, etc.) with the support of the external legal counsel
  • Managing class actions with the support of external legal counsel.

The Person:

  • University degree in law and/or financial services; professional compliance certification is also advantageous
  • Previous experience as a senior compliance/legal professional within a Management Company and/or consultant and expert knowledge of USITS and regulatory compliance in the Asset Management Industry
  • Strong Industry Knowledge
  • Multi-jurisdictional experience and working directly with regulators Preference to international language’s speakers.
  • High level of professional integrity and authority
  • Commercially driven, to work in fast paced and dynamic environment and to think “outside the box”
  • fluent Italian is required for this position
  • Self-motivated, can work well both independently and in a team
  • Strong attention to detail and quality

This role is a Pre-Approval Controlled Function (“PCF”) under the Fitness and Probity Regime of the Central Bank of Ireland

For a private and confidential conversation and for a full job description please contact Ciaran on 01-8746770.

Or email coconnell@paragonexecutive.com