Compliance Analyst

Delta Capita•Ireland, WV

2d•Hybrid

About The Position

This is a role within the Asset Wealth Management Compliance Advisory team, helping to provide compliance advisory services covering portfolio management, trading, sales and marketing activity within the Asset Management team for the client based in Dublin. The successful candidate will work with business partners, Legal and Compliance colleagues in connection with helping to respond to regulatory requests, respond to compliance queries from the business, uplift compliance program in response to regulatory reform, perform surveillance and forensic reviews, train the business in compliance matters, participate in policy updates and drafting, conduct marketing material sign off, and advise on sales activity.

Requirements

Ability to work as part of a global team as well as act as project lead on various compliance matters
Familiar with the risk and compliance function of asset management
Understanding the development and implementation of compliance programs
Ability to deal with business personnel and deliver good compliance outcomes in time constrained situations
Regulatory risk or compliance experience (asset management experience preferred)
Highly motivated risk and control focused individual with excellent judgment
Knowledge of investment instruments including derivatives
General compliance knowledge and familiarity with CBI and FCA regulations, MiFID, UCITS, AIFMD and SFDR
Effective analytical and organizational skills
Strong verbal and written communication skills
Ability to handle multiple tasks with attention to detail and work under pressure
Ability to work both independently and as part of a team
A valid working permit for the Ireland is mandatory.

Nice To Haves

asset management experience preferred

Responsibilities

Provide Compliance support and representation on AWM strategic initiatives
Review and approval of financial promotion materials
Provide daily compliance surveillance of the clients portfolios for regulatory requirements and applicable policies and procedures
Assistance in the production of board reports
Participate in the review and evaluation of new instruments and vehicles to identify compliance issues and surveillance needs
Develop and draft compliance policies and procedures, outlining firm policies, regulations and best practices
Ensure breaches and complaints are logged and cover the compliance aspect of the sign off
Create compliance training programs
Compliance advisory regarding global asset management marketing and distribution questions: UCITS/Non-UCITS/cross border distribution
Review and approval of due diligence on third party distributors
Compliance advisory on new clients fund launch projects
Preparation, organisation and delivery of compliance trainings
Miscellaneous projects as required