Compliance Governance Specialist

7 days ago

Dublin, Dublin City, Ireland Wallace Myers International Full time

At Wallace Myers International, we are seeking a Compliance Governance Specialist to join our team. The ideal candidate will have a background in compliance and governance in asset management.

The Compliance Governance Specialist will be responsible for assisting the Chief Compliance Officer in developing, maintaining, and updating the company's compliance framework with a focus on various areas including:

Main Responsibilities:

  • Policy and procedure development
  • Compliance risk assessments
  • Developing the compliance culture within the company
  • Oversight and control
  • Development and execution of the company's annual compliance plan
  • Providing expert compliance advice to portfolio managers and the firm generally
  • Identification and assessment of regulatory changes
  • Preparing regular and ad-hoc reports for the Board of Directors and other governance forums

The Compliance Governance Specialist's duties will include:

  • Preparation of compliance risk assessments, evaluating compliance-related topics with an independent mindset and proposing appropriate improvements
  • Developing and strengthening the firm's approach in building the firm's compliance culture
  • Developing and executing the Annual Compliance Plan, and the periodic surveillance on the most important Policies (MAR, Personal Dealing, ABC, Best Execution, Conflicts of Interest, GDPR, AML, Fitness and Probity Standards), following up on the appropriate execution of any compliance recommendations
  • Strong oversight and hands-on approach, with an independent and challenging mindset in dealing with relevant delegates of the Firm (Investment Managers, Distributors, Administrators, Transfer Agents)
  • Providing advice and support to the portfolio managers and staff more generally in compliance-related topics
  • Assisting in the review of upstream regulatory changes and analysis of impact on the business, providing training as appropriate
  • Preparing, reviewing, and advising on the policies and procedures of the company, in particular regarding compliance policies and Group Policies, keeping in good order the Compliance Handbook
  • Able to apply and implement the Group Policies in the local Irish regulatory framework
  • Support the CCO and the Compliance team as required
  • Assisting in the preparation of reports and updates to the Board, the Central Bank of Ireland, the CSSF, senior management, group Compliance function, and any other stakeholders
  • Able to be ahead of the curve in an ever-changing compliance environment regarding ESMA, CBI, and CSSF views, regarding regulatory interpretations
  • Back up other Team members as appropriate

Key Skills, Experience & Requirements:

  • 5 years' relevant compliance experience gained in an asset management company or similar organisation
  • LCOI qualification or willingness to study for qualification preferred
  • Deep knowledge of the UCITS Regulations
  • Strong knowledge of financial products and financial markets
  • ESG experience/industry knowledge an advantage
  • Knowledge and experience of MIFID and/or AIFMD a plus
  • Excellent verbal and written communication skills
  • Strong planning and problem-solving skills
  • Well organised with strong time management and relationship skills
  • Be enthusiastic and eager to learn, self-starter

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