Compliance Associate
2 weeks ago
Key Responsibilities:
Regulatory Compliance & Monitoring
- Assist in ensuring compliance with UCITS, AIFMD, MiFID II, AML, and other relevant financial regulations.
- Conduct compliance monitoring reviews to assess adherence to policies and procedures.
- Support the implementation of regulatory change initiatives and assess their impact on the business.
- Assist in preparing regulatory filings and reports for submission to the Central Bank of Ireland (CBI) and other regulators.
Compliance Advisory & Oversight
- Provide advisory support to business units on regulatory requirements and compliance best practices.
- Assist in the review and approval of marketing materials, financial promotions, and investment documents to ensure regulatory compliance.
- Support the development and enhancement of compliance policies, procedures, and frameworks.
- Conduct due diligence on third-party service providers from a compliance perspective.
Training & Reporting
- Help develop and deliver compliance training to employees on regulatory topics, including market conduct, AML, and conflicts of interest.
- Maintain compliance registers (e.g., breaches, complaints, personal account dealing).
- Assist in the preparation of compliance reports for senior management, the Board, and regulatory bodies.
Key Skills & Experience Required:
- 1-3 years of experience in a Compliance, Risk, or Regulatory role within asset management, investment funds, or financial services.
- Strong knowledge of UCITS, AIFMD, MiFID II, AML, and other applicable regulations.
- Experience in compliance monitoring, regulatory reporting, and policy development.
- Ability to work independently while collaborating effectively with internal stakeholders.
- Strong analytical and problem-solving skills, with excellent attention to detail.
- Experience with regulatory reporting tools, compliance monitoring systems, and AML screening tools is an advantage.
- Professional qualifications such as CAMS, ICA, or a Diploma in Compliance (LCI/IFS) are desirable but not essential.
Why Join?
- Exposure to a broad range of compliance functions within a dynamic asset management firm.
- Opportunity to work in a collaborative environment with experienced professionals.
- Support for professional development and regulatory certifications.
? DM me for more details or apply today #Compliance #AssetManagement #Hiring #DublinJobs
Olivia Quinlan
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