Our client is seeking a highly a motivated compliance professional to join as their DP for Regulatory Compliance (PCF-39F) and support their European team in Dublin on a permanent basis.
The company is expanding its European operations and is looking for a talented individual to contribute to its growth and success.
About the company:
Our client, a firm with c80 billion in assets under management, offers exchange-traded fund solutions across UCITS ETFs and non-Irish domiciled ETPs and Segregated Mandates. The Dublin office serves as a pivotal hub for its European operations.
Reporting directly to the General Counsel, the successful candidate will be responsible for the management and oversight of various work-streams and ensuring relevant data and materials are available for investors and regulators at all times. They will also have the opportunity to drive compliance initiatives and support the company's expansion efforts across Ireland.
Responsibilities:
- Managing and monitoring the compliance framework of the European Compliance functions.
- Managing the provision of required regulatory information and marketing material to investors.
- Monitoring cross border distribution of the funds under management to ensure the funds are appropriately registered in all jurisdictions in which the funds will be marketed.
- Monthly reporting to committees and internal stakeholders as requested.
- Monitoring of ongoing delegate issues and independent analysis of service provider reporting.
- Assisting with Board meeting reporting.
- Oversight of arrangements with distributors so that marketing activities are consistent with the agreed distribution strategy.
- Developing and reviewing policies and procedures to ensure they are sufficient to meet regulatory requirements.
Experience:
- Minimum 5 years of relevant compliance experience with a Manco.
- Suitable qualifications and experience that directly supports the expectations of PCF-39F.
- Ideally, candidates will have previously held a PCF-39F designation.
- Experience in compliance roles within UCIT or AIFM Manco environments, demonstrating a deep understanding of regulatory frameworks
- Knowledge of UCITS regulations and/or MiFID regulation.
- Experience in regulations/guidance issued by the CB.
- Some understanding of the Central Bank of Ireland’s Fund Management Company Guidance (CP86)
- Experience in financial services (in particular, compliance work for regulated investment funds (UCITS ETF experience is particularly desirable) and/or regulated investment managers).
Interpersonal skills required:
- Strong initiative, communication, tolerance of pressure, willingness to learn and progress, strong team working skills.
- Strong organisational skills and project leadership skills.
- Excellent attention to detail.
- Effective communication and teamwork abilities.
- Proficiency in MS Office, particularly Excel and Word.
Key Competencies:
- Characteristics of a successful candidate include holding credentials in Compliance, strategic thinking capability, experience with regulatory interactions, and keen analytical skills with an eye for detail.
- Self-starter.
- Excellent analytical and problem-solving skills.
- Strong verbal and written communication skills.
- Positive team player.
- Hard working and deadline driven.
- High levels of honesty and integrity.
Offering:
On offer is a competitive salary and benefits package, along with a dynamic and fast-paced work environment. The company values the contributions of every team member and offers attractive career progression opportunities. As the Dublin office continues to grow, this role presents an exciting path towards a Head of Compliance position in the future.
For more information please contact rory@phoenixsearch.com
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