Senior Associate - Compliance

Waystone leads the way in specialist services for 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 is now serving assets under management in excess of $2Tn. Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.

Summary: This role will operate within the Compliance department of an Irish Fund Management Company authorised as a UCITS Management Company and as an Alternative Investment Fund Manager. This role is an integral part of our wider European and Global Compliance Team.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Support the ongoing development of the Firm’s Compliance Framework including ownership of maintaining robust regulatory and compliance policies & procedures in accordance with Central Bank of Ireland and other relevant regulations.
• Support the Head of Compliance and Designated Person (‘DP’) for Regulatory Compliance, as may be required from time to time.
• Support the MLRO & Deputy MLRO to maintain appropriate policies, systems and controls for compliance with Irish CJA and other relevant regulations.
• Daily management of the Compliance team mailbox with responsibility to ensure all items actioned by end of day
• Support planning and taking ownership of implementing the Compliance Monitoring Programme of WMCIE.
• Provide Compliance support to senior management and take ownership of defined tasks with regards to key strategic projects.
• Provide support to cross functional compliance projects with a focus on developing and delivering consistent compliance standards 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, Legal & external advisors) as necessary, including new products & client onboarding.
• Support the completion of regulatory correspondence including administration of and delivery of the firms requirements through the CBI Portal and other regulator’s reporting systems, as may be required from time to time.
• Work with the Compliance team to prepare reports or advice 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.
• Manage the upkeep of the various registers, including errors & breaches, conflicts of interest, G&E complaints, regulatory correspondence, policies and procedures, etc.
• Respond to Due Diligence requests taking ownership of the compliance departments deliverables and maintaining the database of information.
• Other tasks as may be required from time to time.

Education:

• An internationally recognised degree and/or suitable professional qualification or equivalent.
• Compliance Institute Professional Diploma in Compliance (or working towards completion of same).

Experience:

• 3 or more 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 CF function is advantageous.
• Knowledge of key compliance and regulatory rules e.g. UCITS/AIFMD, AML/CFT, and current hot topics.
• Excellent organizational skills – an ability to prioritize multiple tasks concurrently.
• Successful delivery of work within timelines agreed
• Strong written and verbal communication skills are essential in performing this role successfully.
• Ability to work independently, and as part of a team.
• Enthusiasm for further learning and project work.