Legal & Compliance Associate
3 weeks ago
Job Purpose
We are looking for an experienced paralegal or lawyer with 1-4 years experience who is currently working either as a paralegal, lawyer or compliance associate in an asset management firm with a commercial, capital markets or funds background, who has experience in, or wants to move into a role that is focusing on exchange traded products and is based in Ireland.
This individual will be a key member of the growing legal team.
This role is an ideal opportunity for an ambitious candidate looking to embed themselves into a fast-growing management company in Ireland.
The job function for this position is to provide legal and compliance support for the Legal and Compliance function on general commercial matters and to the front office in respect of sales and marketing activities.
The candidate will provide support with the regulatory approval and listing of new funds and products on the exchange traded notes platform.
The Candidate will also provide support to the Management Company and governance of funds on the platforms.
Key Accountability's and Scope
The responsibilities will include:
Policy and procedural updates that reflect the requirements under the Central Bank of Ireland's Fund Management Company guidance, on-going regulatory developments and any other requirements as determined by the Boards, including SLAs;Compile monthly reports for the Designated Person with responsibility for Regulatory Compliance;Provide support to all Designated Persons including support and co-ordination of monthly key performance indicator reports and other ad hoc support as appropriate;Review of monthly reporting and working collaboratively with partners/sponsors, key delegates, service providers and colleagues;As required:Assist with the ongoing identification, assessment, monitoring and reporting of Operational and Fund Risk Undertake Risk and Control Self-Assessments (RCSAs);Maintain Key Risk Registers for the Entities and the Funds, Monitor KRIs and support the Designated Person for Fund and Operational Risk to report against Key Risks;Review and undertake updates to the Risk Management Process, Policies, Procedures and Risk Management Framework as required; andAssist with the management and reporting of incidents understanding root causes, process deficiencies and support to the Head of Compliance in the implementation of control enhancements.Skills and Qualifications In terms of experience:A qualified lawyer or experienced paralegal with 1-4 years of experience would be ideal but is not a requirement; and/orBetween 1 to 4 years' experience working in an asset management company or fund management company with strong project management experience;Proven track record in dealing with compliance-related and/or fund matters;Product development experience desirable but not essential provided there is an interest in doing this type of work;Ability to work on their own within a small team in Ireland, take ownership of projects and work in a cross-functional, dynamic and outcome oriented manner;Excellent academic record is expected;Attention to detail very important along with policy and procedure drafting skills;Hard-working and energetic self-starter with an enthusiastic attitude;Exceptional organisational and inter-personal skills, comfortable dealing with senior management;Ability to multi-task and meet tight deadlines as well as a pragmatic approach to problem-solving.
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