Compliance Specialist


Mission Statement

Our mission is to become a center of excellence for advisory solutions. We create, manage & deliver Fund of Funds and Single Strategies in a timely, efficient and dynamic manner while maintaining the highest level of both product innovation and quality

Main Responsibilities:

UCITS  Management Company is the Manager of 3 UCITS Umbrella Funds in Luxembourg and in Ireland, with AUM of approx. 15 bn euro.

We are looking to recruit an enthusiastic professional, reporting to the Company Chief Compliance Officer (CCO) to support the continuous growth of the company.

The role:

  • Oversight of the Funds UCITS and Prospectus Limits, dealing efficiently with the Depositary, the Investment Managers and the system provider;
  • Preparing, reviewing, advising on Policies and Procedures of the Company, in particular regarding Compliance Policies and Group Policies, keeping in good order the Compliance Handbook;
  • Dealing efficiently with the Investment Managers, the Administrators and the Depositary Banks, in relation to Fund Limits investigation breaches, and in directing the application of policies and in verifying the appropriate execution of the target operating model;
  • Assisting the Compliance Team in the execution of the Annual Compliance Plan;
  • Providing support to the CCO and in certain circumstances advise and guide staff in relation to compliance matters;
  • Assist in the review of upstream regulatory changes and analysis of impact on the businesses;
  • Involvement in projects that require regulatory/compliance input;
  • Assist with developing staff training and delivering of the same;
  • Support the Head of Compliance and the Compliance Team as required Assist in preparing reports and updates for the Board, the Central Bank, Senior Management and any other stakeholders;
  • Assist in the promotion of an appropriate compliance culture within the organisation.

Key Requirements

  • Relevant Asset Management Experience;
  • Honours Bachelor degree;
  • ACOI qualification or study preferred;
  • 2-5 years’ experience in one or more the functional areas mentioned above;
  • Strong knowledge of financial products and financial markets;
  • Excellent verbal and written communication skills;
  • Strong planning, problem solving;
  • Well organised with strong time management skills;
  • Be enthusiastic and eager to learn, self-starter.