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Head of Compliance & MLRO (PCF15) – Irish Fund Management, UCITS, AIF, MiFID experience required

€100K to €120K + Bonus & Benefits | Dublin
Ref: 3597G

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 

Our client, a leading Global Fund Manager, is looking for an ambitious Senior Compliance Practitioner to be their first PCF15.  While the business has been established in Dublin for past 10 years all compliance has thus far been looked after from the UK based HQ.  Due to continued Irish growth and future growth prospects our client is now applying for a MiFID licence and are now looking to appoint their first Irish Head of Compliance & MLRO, reporting to the Irish Board and CEO, duties will include;

  • Day to day management and responsibility for the compliance function of Ireland in relation to all aspects of regulatory compliance for the firm’s CPM and IPM business. 
  • Responsibility for financial crime including AML and CTFC and ensuring systems and controls are in place to manage financial crime risk.
  • Representing the firm in its relationship with the CBI, including all correspondence and reporting.
  • Regulatory change – analysing consultation documents issued by the CBI, engaging with the Irish Funds Association in responding to CBI policy initiatives and providing input to the regulatory change steering group in London.
  • Working with group compliance to set compliance policies for the Irish entity.
  • As MLRO liaise with Garda National Drugs and Organised Crime Bureau (GNDOCB) and crime prevention organisations.
  • As MLRO review and sign off of all client onboarding.
  • Due diligence and oversight in respect of the financial crime and compliance plans undertaken by the firm’s delegate third party administrator.
  • Developing and undertaking a compliance monitoring programme that is appropriate for the firm’s CPM and IPM business.
  • Ensuring that the Irish compliance risks are regularly assessed (at least annually) and that the compliance monitoring programme is of sufficient depth and breadth to identify breaches of regulatory controls and CBI rules.
  • Providing written Board reports and attending Board meetings as required.
  • Briefing and training of staff on their compliance obligations.

 

You should have gained significant retail or institutional fund management compliance experience either in Ireland or the UK with a good knowledge of the CBI regulations as relevant to the Fund Management Industry as well as detailed knowledge MiFID rules and requirements.  While an in-depth knowledge of UCITS and AIF’s rules is required as important will be your hands on approach and practical operations and controls knowledge.

This is an excellent opportunity to join a well established business at an exciting time of their development and growth in a role that will be broad and exciting.  For the right person this role will be the effective number 2 to the CEO and you will be offered the opportunity to take on more strategic and business specific responsibilities as part of the senior management team.

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins (Compliance Recruitment Ireland) on +353 (1) 563 4310 or for a confidential discussion about this position or send your details to gary@compliancerecruitment.ie

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