Compliance Officer - Asset Management Company - Dublin

We are currently working with an international asset management company in Dublin who seek to appoint a Compliance Officer, with either a compliance or regulatory background. The successful candidate will report to the Head of Compliance and join a large team split between fund and regulatory development; and will be responsible for implementing the firm's compliance plans, approach and strategy across the organisation.

Key Responsibilities

  • Leadership and oversight of the corporate unit (Risk Assessment Audits, Annual Plan, Compliance Matrix, management of policies database, etc.)
  • Prepare reports to the Board of Directors on all compliance matters
  • Support the delivery of the annual Compliance Plan for the Company in line with regulatory requirements (e.g. MIFID, UCITS and Corporate Governance Code)
  • Support the preparation of reports and updates on the status of the annual Compliance Plan
  • Provide support to the PCF 12 for Irish entities
  • Assist with the completion of all compliance and legal monitoring activities within the compliance team
  • Co-ordinate with stakeholders, track and respond to ad hoc queries, regulatory meetings & reviews from the Central Bank
  • Ad hoc projects as required

Key Requirements

  • Ideal candidate is someone who has at least 3-6 years' experience in a compliance or internal audit environment in financial services.
  • Relevant 3rd Level Degree preferably with a legal content
  • A formal qualification in Compliance is advantageous

The SR Group (UK) Limited is acting as an Employment Agency in relation to this vacancy.

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