Reports to the Head of Compliance – Europe
The Aztec Group is excited about expanding our award-winning fund, corporate and depositary services offering into Ireland. The role that we are opening is for Associate Director of Compliance who will hold the designations of PCF 52, PCF 12 and PCF 14 and will play a key role in providing advice, training and monitoring services in respect of compliance matters.
Key responsibilities
- Maintain an up-to-date the Compliance Manual, documenting all relevant policies and procedures designed to address compliance and financial crime risks
- Maintain up-to-date compliance risk assessments identifying the regulatory compliance and financial crime risks faced by Aztec Ireland, taking into account the nature and scale of the services provided
- Design, implement and maintain a comprehensive risk-based monitoring programme, taking account industry and regulatory developments and using appropriate tools and methodologies
- Ensure that the monitoring programme is completed in a timely fashion and the results reported to Senior Management and to the local Board of Directors
- Identify, document and propose resolutions to breaches, and suggest improvements where control weaknesses are found
- Timely identification of material regulatory changes that can affect the activities of Aztec Ireland or of its clients
- Provide day-to-day assistance and advice on regulatory and financial crime issues to Senior Management and staff and participate in the development of new policies and procedures as and when needed
- Be the main escalation point for internal suspicious reports; in charge of analysing them and considering further actions, such as, for example, filing suspicious activity reports to the local FIU
- Be the main contact point for requests for information made by the CBI, Department of Justice, law enforcement or any other relevant Authority
- Preparing Compliance and AML reports addressed to the Aztec Ireland Board of Directors. Attend such meetings and present the content of the reports
- Member of the New Business Committee in charge of reviewing and assessing the take-on of new potential clients
- Be the central contact point in relation to audit reviews conducted on Aztec Ireland
- Provide training to Senior Management and staff on regulatory issues as necessary, in collaboration with the Aztec Academy
- Provide training on regulatory matters, as and when required, to the staff of the Aztec Ireland office
Key Competencies:
- Analytical thinking - analysing and breaking issues down to resolve them. Make systematic and rational judgement based on relevant information and experience
- Communication – excellent communication skills, both written and verbal. Ability to convey information clearly and concisely to groups or individual to ensure they understand the information and message, presenting information suited to the characteristics and needs of the audience.
- Judgement - making timely decisions that demonstrate considered judgement
- Planning & organising - planning and organising in advance as far as possible. Managing ad hoc issues as they arise whilst meeting deadlines
- Influencing - exhibits influencing skills. Having the ability to convince and persuade others, specifically Senior Management
Education, Experience and Skills:
- Educated to University degree level (preferable in Law, Finance, Economics)
- Relevant professional qualifications advantageous, although not essential
- Significant compliance experience gained within the investment funds’ sector. Good knowledge of AIFMD requirements with special focus on depositary aspects. Relevant experience required
- Demonstrable practical knowledge and understanding of relevant regulatory requirements
We will provide the training, both in-house for relevant technical knowledge and also professional qualifications to enhance your professional development. You will need to be quick to learn new systems and great with people, as close working relationships between our colleagues and clients is at the heart of what we do.