Compliance Manager, Assistant Vice President recruitment

Roles and Responsibilities


RISK REGULATORY
• Ensure the organization conducts business in compliance with legal and regulatory requirements, company policies and ethical business practices
• Provide expert guidance to the business on the application of regulations and legislation impacting Transfer Agency
• Monitor changes in the regulatory environment for IFDS Ireland and provide effective change management to address such changes
• Work closely with IFDS Ireland management to establish an appropriate compliance culture throughout the business units
• Drive the development and implementation of appropriate procedures to meet internal control and external compliance requirements
• Understand the risk environment within the department and manage appropriately; promote risk awareness, assessment and control within the department
• Collaborate with the Risk, Compliance, Legal and Audit representatives from the Joint Venture partners and other Joint Venture entities as appropriate
• Oversee the development, implementation, review and revisions of compliance manuals, policies, procedures and systems within IFDS Ireland

LEADERSHIP
• Contribute to the setting and achievement of TA Department and IFDS Europe performance targets and objectives
• As a member of the management team lead, contribute to the leadership of IFDS Europe as required
• Exercise operational oversight within the department and make sound operational decisions
• Develop the organisation in terms of financial planning, business strategy, service offerings and HR policies

CLIENT RELATIONSHIP
• Responsible for the ownership and management of audit and regulatory body relationships
• Assist client relationship managers and develop good client relationships as required
• Foster an environment where procedures, policies and processes are adhered to and procedural changes are introduced to enhance the ongoing performance of the department
• Continually develop expertise in all area of the industry

RESOURCE MANAGEMENT
• Identify and secure resources required by the department and ensure effective utilisation
• Ensure that Transfer Agency is properly resourced both in terms of people and technology whilst complying with agreed budgetary guidelines
• Actively support the overall organization and Transfer Agency Training Plan
• Work with fellow Senior Managers to support the Head of Department and deputise in their absence as required
• Ensure that appropriate compliance-related management information is produced and reviewed at appropriate intervals; utilise management information to assist in managing both clients and resources
• Focus on development opportunities for your direct reports and ensure a focus on non-operational management within the department
• Using corporate PPR tools, actively participate in the performance appraisal process and monitor overall timeliness of completion for the Risk and Compliance team with your direct reports

COMMUNICATION
• Provide strategic oversight to the business through identification of key compliance issues and trends
• Report regularly to the various business Senior Management Committees, with appropriate, timely and relevant information so that the committees can discharge their responsibilities effectively
• Lead and contribute to operational and client meetings as required
• Lead and contribute to your chosen Focus Group
 

CHANGE MANAGEMENT
• Create an environment that is flexible and adaptable and be a champion of change
• Initiate and oversee tasks within a continuous improvement drive to ensure that the Department is efficient and seen as customer and quality driven
• Provide support during the implementation of change
• Ensure participation in the completion and implementation of department wide projects as required and lead local team initiatives

Knowledge, Skills and Experience Required


Knowledge
• Comprehensive knowledge of the Regulatory base as it applies to the Funds Industry is required
• Sound procedural, technical and product knowledge of the Transfer Agency business is beneficial. This should be complemented with a good understanding of the Fund Accounting and Custody aspects of the Funds Industry.
• Comprehensive knowledge of systems, including Microsoft Office applications, is required
• Business related degree preferable

Skills
• Attention to detail and concern for quality
• Excellent communication, organizational and planning skills
• Ability to work to deadlines in a fast paced environment
• Excellent people management and leadership skills
• Ability to proactively work under own initiative

Work experience
• Typically candidate will have 5-8 years experience in a similar environment, likely to include time spent within a Compliance, Audit or Trustee function.

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