Compliance Specialist - Investment Firm

About the Role

We are collaborating with a global investment firm that is expanding its Compliance team. This multifaceted position involves supporting regulatory and compliance oversight across investment management and funds operations within Ireland and other European countries. The role is classified as CF2 under the Central Bank of Ireland Fitness & Probity Regime, providing valuable experience across fund compliance, investment regulations, and governance frameworks. This represents an excellent opportunity for an investment compliance professional interested in broadening their expertise within an international and growing company.

Key Responsibilities

• Oversee adherence to investment restrictions, identify guideline breaches, and track sustainability commitments for investment funds.
• Examine investment vehicles to ensure compliance with applicable regulations and fund documentation.
• Assist in due diligence and supervision of investment managers and third-party service providers.
• Engage with fund managers and depositaries regarding investment and compliance issues.
• Review documentation related to fund launches and ongoing amendments.
• Manage employee compliance declarations and monitor personal trading activities.
• Evaluate and approve marketing materials and Requests for Proposals (RFPs) connected to regulated investment services.
• Conduct compliance audits and maintain appropriate policies and procedures.
• Provide support for governance activities, including Risk Committee and Board reporting.
• Contribute to regulatory inquiries, adapt to regulatory updates, and facilitate implementation of new requirements.
• Deliver compliance training sessions and offer practical regulatory advice to the investment teams.

Required Experience and Skills

• At least 3 years of experience in compliance roles within investments, funds, or asset management sectors.
• Strong understanding of Irish and European investment regulations, with emphasis on MiFID, UCITS, and AIFMD frameworks.
• Familiarity with various fund structures and asset classes.
• Excellent communication capabilities and proficiency in stakeholder engagement.
• Proven capacity to take initiative, prioritize multiple tasks, and perform efficiently within a developing team.