EXCLUSIVE - Head of Compliance

  • Excellent
  • Dublin, Leinster, Ireland Dublin Leinster IE
  • Permanent, Full time
  • Paragon Executive
  • 20 Apr 18 2018-04-20

EXCLUSIVE - World leader Asset manager who is setting up a Dublin office and now requires a designated person to be Head of Compliance, Ireland this role is in the Advisory group reporting to the Boards and group head.

The role involves senior level participation in a broad range of Compliance coverage responsibilities delivered as part of the Annual Compliance Plan for two new entities setting up in Dublin  


The Role:

  • Provision of advice concerning regulatory matters and internal policies and procedures whether in a structured context (e.g. standing business meetings) or ad hoc
  • Dual hatting for the new Management company and MiFID entity
  • Relationship management with investment teams, trading desks, product distribution and infrastructure functions
  • Liaison and coordination with regional and global Compliance, infrastructure group and business functions
  • Representing Compliance in new fund launches, closures and key amendments
  • Investment policy interpretation and Oversight of Regulatory filings and compliance with jurisdictional requirements
  • Providing technical guidance on existing and new regulation (MIFID, UCITS, EMIR, MAR, AIFMD, etc.)
  • Preparation and collation of Fund Board/Management Company Board reporting
  • Providing ongoing training to Investment teams on regulatory topics
  • Liaison with Central Compliance groups e.g. Financial Crime Compliance Unit
  • Participation in Compliance reviews principal initial responsibilities will include participation and, as appropriate, providing the Compliance lead for strategic or regulatory initiatives and projects
  • Implementation of regulatory change e.g. MIFID2, GDPR, SMR etc
  • Tracking applicable regulatory Consultation Papers, notices and enforcement actions and identifying emerging themes or risks from areas of regulatory focus
  • Evaluating Compliance implications of the expansion of the investment branch network across EMEA
  • Providing advice with respect to new business activities or changes in investment business line processes; and
  • Development of appropriate Compliance management information including the production of annual and quarterly reporting to the Board
  • Given the global nature of the overall Compliance programme, the candidate will need to liaise with global counterparts with respect to certain of the initiatives for which they are given responsibility


The person:

  • Strong retail and institutional asset management regulatory knowledge
  • Mid to Senior level operating experience in asset management Compliance gained within a major UK regulated entity
  • Demonstrable knowledge of the Central Bank of Ireland requirements for Management companies and UCITS funds
  • Practical experience of working in a cross-regional context, ideally including exposure to retail funds (Ireland, UK, and Luxembourg)
  • Technical expertise with respect to relevant European laws and regulations such as, MIFID, UCITS and AIFMD
  • Excellent analytical, Project management and organisational skills
  • Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing
  • Able to use initiative and apply judgment
  • Well-connected and active in local industry forums but also be Driven and a good team player
  • Comfortable operating in a dynamic environment involving liaison with colleagues globally and within the Compliance division more broadly.
  • Able to remain composed under pressure, able to effectively manage and prioritise a substantial workload, adhering to sometimes tight deadlines.


For a private and confidential conversation and for a full job description

please contact Ciaran on 01-8746770.


Or email coconnell@paragonexecutive.com