Compliance Manager - Financial Services

Job Overview

Compliance Manager
The position is based in Limerick

The Investor AML Operations Team is entirely based in Limerick
This role requires the provision of management of colleagues and leadership and guidance to clients and partners to support anti-money laundering services aligned to:

* AML Legislation/Regulation & Guidance/Best Practice.
* The Investor AML Department's processes and procedures.
* Company Compliance, Risk and Audit programs.

There is a requirement to hold, build and maintain a strong relationship with the Client Transfer Agency and Client Services Departments to deliver a robust AML Compliance service to company client and investor base.



Main Responsibilities

* Maintain an up to date knowledge of AML regulation and best practice and use this knowledge to initiate enhancements to AML processes and procedures.
* Ensure that all queries from internal and external parties are dealt with efficiently and professionally.
* Address the most complex problems and critical issues escalated from within the Investor AML Operations team, as well as those received from other internal and/or related external parties.
* Develop, implement and enforce policies, procedures and programs to increase business effectiveness and efficiency whilst minimizing potential money laundering risk.
* Manage completion by Investor AML Operations of AML compliance support for clients in conjunction with colleagues and provide regular and meaningful periodic updates to line management and colleagues.
* Manage the review of investor documentation in adherence with company AML policy and procedures. Work with colleagues and line management in reviewing such investor documentation and efficiently sourcing outstanding investor due diligence documentation (if any) with professionalism of approach and timely escalation of material issues arising.
* Build and maintain strong working relationships with clients and partners in other departments.
* Take responsibility for timely and accurate completion by Investor AML Operations of workload allocated including tasks processed through company workflow process.
* Daily liaison and attendance of meetings with internal and external parties to deliver AML Compliance support services to clients, investors, company partners and Fund Boards.
* Perform additional work where volume or absence requires such workload to be completed.
* Ensure that the Investor AML Operations team meets the required audit, risk and compliance standards as determined, from time to time, in accordance with changes in legislation and guidance.


Skills / Experience
* Knowledge of day-to-day Transfer Agency operations and the wider funds administration business.
* Previous people management experience.
* Previous experience in an AML Compliance role.
* Strong knowledge of the AML regulatory environment in Ireland.
* Strong organisational and communication skills.
* Effective risk management.
* Ability to research and understand complex issues and deliver solutions.
* General knowledge of Microsoft Office applications relating to designated areas of responsibility.
* The successful candidate is required to comply, and ensure reports and colleagues comply, with the AML regulatory regime in which company operates as appropriate to the above role.
* The successful candidate is expected to exercise due care and diligence, and ensure that the responsibilities of the role are organised and controlled within the ambit of regulation, compliance and risk management.
* The successful candidate is required to observe proper standards of market, business and personal conduct, demonstrating integrity in the execution of such duties.
* Computer literate.
* Transfer Agency systems knowledge is an advantage
* Transfer Agency workflow processing system and concepts knowledge is beneficial

If you would like a confidential discussion regarding the role please call Bernadette on 087 2262776

Key Contact

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