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Manager – Regulatory Compliance

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Waystone

13d ago

  • Job
    Full-time
    Senior Level
  • Dublin
  • Quick Apply

AI generated summary

  • You need an internationally recognized degree, 5 years' experience in compliance within FSP/Fund Management, knowledge of UCITS/AIFMD/EMIR, and strong organizational skills.
  • You will ensure compliance with regulations, support the compliance team, advise on projects, manage policies, oversee service providers, monitor developments, and promote a compliance culture.

Requirements

  • An internationally recognized degree and/or suitable professional qualification or equivalent.
  • 5 years’ experience within the compliance team of a FSP (or equivalent), preferably within a Fund Management Company.
  • Experience with the CP86 framework and/or holding a PCF function is advantageous.
  • Extensive knowledge of key compliance and regulatory rules e.g. UCITS /AIFMD, EMIR/SFTR, AML/CFT, SFDR and current topics.
  • Excellent organizational skills – an ability to prioritize multiple tasks concurrently.
  • Ability to work independently and as part of a team.

Responsibilities

  • Support the Firm’s Compliance Framework including maintaining robust regulatory & compliance policies & procedures in accordance with Central Bank of Ireland and other relevant regulations.
  • Support the Designated Personal (‘DP’) for Regulatory Compliance.
  • Support the MLRO to maintain appropriate policies, systems and controls for compliance with Irish CJA and other relevant regulations.
  • Providing compliance advice and support to the wider Waystone Management Company (IE) Limited (‘WMCIE’) business.
  • Provide Compliance support to senior management with regards to key strategic projects.
  • Provide support to cross functional compliance projects with a focus on developing and delivering consistent standards on data privacy and ensuring consistency across all business units and locations.
  • Provide support to monitor regulatory developments and provide advice in relation to impact on WMCIE operations ensuring appropriate plans are in place to deal with regulatory changes impacting the business.
  • Provide Compliance support in respect of oversight of Service Providers and Outsourcing arrangements.
  • Collaborate with other functions (e.g., Risk, Operations, the Firm’s General Counsel & external advisors) as necessary, including new products & client onboarding.
  • Support the Head of Compliance and DP for Regulatory Compliance to manage regulatory correspondence including administration of the CBI Portal and other regulator’s reporting systems.
  • Work with the Compliance team to prepare reporting to meet with governance responsibilities of the department and which serves to keep the senior management team & board suitably advised on regulatory / compliance risks and issues.
  • Support business development through participation at relevant industry events and delegate due diligence visits.
  • Maintain an effective compliance training and communication program for the organization, including promoting a strong compliance culture and awareness of standards of conduct, ensuring consistent application across all locations.
  • Take a leading role in planning and implementing the Compliance Monitoring Programme of WMCIE.
  • Manage the ongoing and active management of all WMCIE policies and procedures in place.
  • Manage the upkeep of the various registers, including the conflicts of interest, complaints, regulatory correspondence, policies and procedures, ERMA, etc.
  • Other tasks as may be required from time to time.

FAQs

What is the primary focus of the Manager – Regulatory Compliance role?

The primary focus of the Manager – Regulatory Compliance role is to support the Firm’s Compliance Framework by maintaining robust regulatory and compliance policies and procedures in accordance with relevant regulations.

What qualifications are preferred for this job position?

An internationally recognized degree and/or suitable professional qualification or equivalent is preferred for this position.

How many years of experience is required for this role?

A minimum of 5 years’ experience within the compliance team of a financial services provider, preferably within a Fund Management Company, is required for this role.

Is knowledge of specific regulatory frameworks mandatory?

Yes, extensive knowledge of key compliance and regulatory rules such as UCITS/AIFMD, EMIR/SFTR, AML/CFT, and SFDR is necessary for this position.

What types of projects will the Manager – Regulatory Compliance be involved in?

The Manager will provide compliance support in relation to key strategic projects, cross-functional compliance projects, oversight of service providers, and client onboarding.

Will this role involve working with external regulators?

Yes, the role involves managing regulatory correspondence and collaborating with the Central Bank of Ireland and other regulators as necessary.

Is there a training component included in the job responsibilities?

Yes, maintaining an effective compliance training and communication program to promote a strong compliance culture is part of the job responsibilities.

What skills are important for success in this role?

Excellent organizational skills, the ability to prioritize multiple tasks concurrently, and the capability to work independently as well as part of a team are important for success.

Will the Manager – Regulatory Compliance have a role in business development?

Yes, the Manager will support business development by participating in relevant industry events and conducting delegate due diligence visits.

Are there opportunities to lead initiatives in this role?

Yes, the Manager will take a leading role in planning and implementing the Compliance Monitoring Programme of WMCIE.

Waystone

Providing certainty in your world

Finance
Industry
1001-5000
Employees
2000
Founded Year

Mission & Purpose

Waystone is a leading global provider of institutional governance, administration, risk and compliance services to the asset management industry. Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide. With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.