Compliance Analyst

6 Months Fixed Term Contract

Dublin

4 Days Onsite

This is a role on that sits within the client's 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.

EXPERIENCE

• 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

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

QUALIFICATIONS

• 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

Expectations regarding hybrid working

As we are a Service Provider and Consulting firm servicing clients, our policy for physically working from the office (which may be the client's offices or our own offices depending on the client) aligns to what our client's policies and expectations are and these vary. Most of our client's now require a minimum of 3 days per week in the office, 2 days from home, and accordingly this is also the minimum expectation that Delta Capita require. However, some of our clients have now moved up to 4 days and even 5 days in the office and we require candidates to be flexible to meet our client demands.

How We Work

Delta Capita is an equal opportunity employer. We positively encourage applications from suitably qualified and eligible candidates regardless of age, colour, disability, national origin, ancestry, race, religion, gender, sexual orientation, gender identity and/or expression, veteran status, genetic information, or any other status protected by applicable law. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. If you require any reasonable adjustments through your interview process, please use the designated space within the application questionnaire.