Head of Compliance
Posted on Jan 24, 2019 by Morgan McKinley UK
Our client is a fund management business with a significant Irish operation. Specialising in UCITs, including ETFs. It is a MiFID firm and also provides FX services to clients globally.
The individual will be responsible for:
- Building on and maintaining an appropriate Compliance framework for the regulated activities undertaken by Business in Dublin.
- Providing a professional proactive compliance service
- Managing [two] shared reports
- Designing and ensuring delivery of all compliance monitoring.
- Ensuring delivery of a regular compliance audits for the funds administered in Dublin.
- Check that adequate policies, procedures and controls are in place to ensure that all parts of Fidelity's business comply with relevant regulations.
- Preparation and distribution of the Errors, Complaints & Breaches log and other relevant compliance MI as appropriate.
- Approving and sign off all relevant marketing and customer documentation material distributed on behalf of the funds.
- Ensuring Regulatory submissions are made in a timely manner.
- Adopting the local MLRO role - delivery and oversight of AML/KYC procedures, training and new business acceptance
- Preparation of reports and/or presenting as required at the Board Meetings.
- Contributing to internal reporting on day to day activities (KTI, MI) and play an active role in relevant Oversight Committees.
- Provision of support for business, operational and regulator change projects to be implemented in respect of the investment activities undertaken locally.
- Liaising and building relationships with the fund Trustees
- Acting as the primary point of contact for all queries from the CBI and establish an ongoing strategy to build and maintain a good relationship with the regulator.
- Supporting the adherence to the businesses Code of Ethics
- Oversight of the administration services provided by the Dublin office and MiFID branch activities
Experience and Qualifications Required
- Irish compliance experience, preferably within a Fund business or investment platform industry.
- Strong communication and leadership skills with the ability to interact effectively at all levels.
- Good technical abilities and knowledge of the regulations (UCITS, AIFMD, AML, CP86, MiFID II).
- Good understanding of Fund Management industry.
- Flexible and hardworking with the ability to work in a fast-paced busy environment.
- Team player prepared to get involved.
- Highly motivated with ambition to make a significant contribution to building the business
- Ability to balance attention to detail, to ensure accurate reporting and reconciliation, and also to see the bigger picture.
Morgan McKinley is acting as an Employment Agency in relation to this vacancy.
Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.