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Provision of advice concerning regulatory matters and internal policies and procedures whether in a structured context (e.g. standing business meetings) or ad hoc, Dual hatting for the new Management company and MiFID entity
Relationship management with investment teams, trading desks, product distribution and infrastructure functions
Liaison and coordination with regional and global Compliance, infrastructure group and business functions
Representing Compliance in new fund launches, closures and key amendments
Investment policy interpretation and Oversight of Regulatory filings and compliance with jurisdictional requirements
Providing technical guidance on existing and new regulation (MIFID, UCITS, EMIR, MAR, AIFMD, etc.)
Preparation and collation of Fund Board/Management Company Board reporting
Providing ongoing training to Investment teams on regulatory topics
Liaison with Central Compliance groups e.g. Financial Crime Compliance Unit
Participation in Compliance reviews principal initial responsibilities will include participation and, as appropriate, providing the Compliance lead for strategic or regulatory initiatives and projects
Implementation of regulatory change e.g. MIFID2, GDPR, SMR etc
Tracking applicable regulatory Consultation Papers, notices and enforcement actions and identifying emerging themes or risks from areas of regulatory focus
Evaluating Compliance implications of the expansion of the investment branch network across EMEA
Providing advice with respect to new business activities or changes in investment business line processes; and
Development of appropriate Compliance management information including the production of annual and quarterly reporting to the Board
Given the global nature of the overall Compliance programme, the candidate will need to liaise with global counterparts with respect to certain of the initiatives for which they are given responsibility
Strong retail and institutional asset management regulatory knowledge
Mid to Senior level operating experience in asset management Compliance gained within a major UK regulated entity
Demonstrable knowledge of the Central Bank of Ireland requirements for Management companies and UCITS funds
Practical experience of working in a cross-regional context, ideally including exposure to retail funds (Ireland, UK, and Luxembourg)
Technical expertise with respect to relevant European laws and regulations such as, MIFID, UCITS and AIFMD
Excellent analytical, Project management and organisational skills
Excellent presentation skills - ability to communicate clearly and concisely both in person and in writing
Able to use initiative and apply judgment
Well-connected and active in local industry forums but also be Driven and a good team player
Comfortable operating in a dynamic environment involving liaison with colleagues globally and within the Compliance division more broadly.
Able to remain composed under pressure, able to effectively manage and prioritise a substantial workload, adhering to sometimes tight deadlines.
The role involves senior level participation in a broad range of Compliance coverage responsibilities delivered as part of the Annual Compliance Plan for two new entities setting up in Dublin
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