Compliance Officer

Location Northern Ireland
Discipline: Asset Management and Investment Funds
Contact name: Rory McCormick

Contact email:
Job ref: 572
Published: about 1 month ago

Compliance Officer

Our client, an established ManCo have a new requirement for a experienced Compliance professional to join their expanding Irish business as they move into an exciting new growth phase.

The Compliance Officer will provide support for the Company’s Designated Person for Regulatory Compliance. This is a wide-ranging role covering various aspects of the Company’s compliance framework:


§ Contribute to an annual compliance risk assessment and to the production of an annual compliance plan;
§ Perform compliance monitoring and oversight reviews (including reviews of the Company’s outsourcing and delegation arrangements, anti-money laundering arrangements etc.), document results and propose enhancements where necessary;
§ Maintain an awareness of regulatory developments;
§ Assist with the monitoring, interpretation and analysis of existing and upstream legislation which may impact on the Company's business and/or clients;
§ Assist with the management of key projects from the initiation and planning stages through execution and completion;
§ Support the Company with the development, implementation and management of the Company's compliance policies and procedures;
§ Review and assess compliance breaches and work with the Company to remediate and resolve any identified issues;
§ Assist with the management of external relations e.g. Central Bank of Ireland, Trustee, Internal Auditors, etc.;
§ Support the production and reporting of management information to the Board;
§ Contribute to maintaining a risk-aware compliance culture;
§ Contribute to the success of the local compliance team.

Experience/Skills Required:

§ Third level qualification and/or relevant professional qualification, which could include the ACOI’s Professional Certificate in compliance;

§ At least 5 years experience working in a compliance / regulatory environment with a financial services or consulting firm;

§ Experience in executing a risk based compliance plan;

§ Experience in executing and documenting compliance monitoring reviews;

§ A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential;

§ Good knowledge of the broader regulatory framework;

§ Working knowledge of UCITS and AIFMD requirements applicable to Irish UCITS and AIFs and their management companies is required, as is a basic understanding of anti-money laundering, data protection, and sustainable finance requirements;

§ Ability to handle a busy workload and to prioritise work;

§ Proactive, and an ability to use own initiative and judgment;

§ Good communication skills, upbeat and positive with high energy.

On offer is a competitive base, bonus, and a range of other attractive benefits.

To discuss this role on a confidential basis, please contact Rory McCormick via email at or apply directly online.