Compliance Manager – Wealth and Asset management
A leading Wealth and Asset management company has an exciting new manager position within their Compliance department. This opportunity involves working directly with the board and external stakeholders.
- Manage the implementation of regulatory requirements, for specific areas within the business
- Assume responsibility for the ongoing monitoring of all regulatory requirements
- Work closely with senior managers or Head of Regulation & Compliance on significant business projects
- Compile regulatory returns
- Monitor and update key regulatory developments relative to assigned area of responsibility
- Liaise with regulators to address daily regulatory enquiries and engage with them on regular inspection visits
- Provide advice on the design, implementation and approval of new products e.g. investment and pension products;
- Requirement to work closely with the business in the drafting of material and in providing a comprehensive review of the final promotional material
- Provide training to staff on compliance related topics
- Carry out monitoring functions as required
- Responsible for key projects and work closely with Head of Regulation and Compliance on specific projects
- Manage and support other team members
The Person :
- A minimum of 5 years Compliance and / or Legal experience, and Investment experience with knowledge of the main requirements of the Financial Regulator
- Knowledge of MiFID, the CPC and the IIA
- Relevant 3rd level Degree or Masters in Business, Finance, Economics, Law or a related discipline
- A relevant Compliance and/ or Legal qualification
- Some knowledge of Pensions and taxation legislation would be helpful
- A strong working knowledge of investment products and of property transactions
- A confident approach and an ability to communicate with a range of people including regulators, legal advisors and senior management within the business
- A team player that can react positively to very demanding challenges and tight deadlines with no loss of accuracy
- A commitment to quality and attention to detail is extremely important in this role.
Reporting directly to a senior Management this is a great opportunity with a leading for a young professional who has a good knowledge of MiFID, the CPC and the IIA to join an expanding team with a genuine interest in the area of Compliance with a wiliness to work hard to have a successful career.
For a private and confidential conversation and for a full job description please contact
Ciarán O Connell on 01-8746770.
Or email firstname.lastname@example.org