Sorry! This job has expired and is no longer available on Recruit.net

View related jobs: Compliance Officer jobs | UBS Financial Services jobs | Dublin jobs

Compliance Officer

6 days ago: UBS Financial Services

Job Description

Your role:
Member of the Lantern Compliance team providing compliance services to Lantern and other areas as required. Emphasis will be with respect to compliance responsibilities regarding Fund management, UCITS, AIFMD, MIFID and AML.
• Be main point of contact for compliance queries for Lantern products and Lanterns operation as a Fund Management Company. Provide expert advice and guidance to business units
• Provide detailed reporting to the Head of Compliance on a regular basis
• Maintain formal governance and oversight of regulatory risk, identifying potential and actual risks and implementing effective risk treatments in conjunction with the business
• Assist in the assessment and review of new/emerging legislation/regulation and consultation papers
• Be able to opine on new fund products and new business initiatives
• Develop and Implement compliance monitoring programme and perform specific reviews as directed by the Head of Compliance. These reviews may include third party service providers
• Conducting risk assessments for gaps in internal policies and procedures
• Identification of Compliance breaches and ensuring prompt rectification
• Maintaining register for breaches, errors and complaints for regulated entities as directed
• Producing regulatory returns as required
• Producing compliance reports for fund board meetings and attending when required.
• Assist in preparation of detailed reports to Business Management and Compliance Management
• Participate in project work as needs arise
• Liaise and support Local and Global Compliance colleagues with respect to queries and initiatives
• Will be required to perform compliance functions for all aspects of Ireland compliance function at the direction of the Head of Compliance
What we offer:
Together. That’s how we do things. We offer people around the world a supportive, challenging and diverse working environment. We value your passion and commitment, and reward your performance.
Keen to achieve the work-life agility that you desire? We're open to discussing how this could work for you (and us).
Take the next step:
Are you truly collaborative? Succeeding at UBS means respecting, understanding and trusting colleagues and clients. Challenging others and being challenged in return. Being passionate about what you do. Driving yourself forward, always wanting to do things the right way. Does that sound like you? Then you have the right stuff to join us. Apply now.
Disclaimer / Policy Statements:
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.
Your team:
You will report to the Head of Compliance with responsibility for AML. You will liaise with other C&ORC colleagues globally.
Your expertise:
Your experience and expertise:
• A minimum of five years experience in a compliance role in the Fund management Industry
• Excellent knowledge of fund management legislation in Ireland, in particular, UCITS and AIFMD, MIFID and AML
• Excellent knowledge of EU and international fund developments such as ESMA, EMIR, AIFMD, Dodd Frank
• Third level degree required and additional professional qualification in a related discipline desirable
• Member of the Association of Compliance Officers Ireland is desirable.
• Excellent attention to detail.
• Ability to track matters until closure.
• Excellent communication and organisation skills
• Able to exercise initiative in the performance of duties
• A self starter and able to multi task in a busy environment
• Adaptable to the changing needs of a fast growing business
• Ability to stand by decisions and work well under pressure
About us:
Expert advice. Wealth management. Investment banking. Asset management. Retail banking in Switzerland. And all the support functions. That's what we do. And we do it for private and institutional clients as well as corporations around the world.
We are about 60,000 employees in all major financial centers, in more than 50 countries. Do you want to be one of us?
Your colleagues:
Job Reference #: 182813BR
Business Divisions: Corporate Center
Title: Compliance Officer
City: Dublin
Job Type: Full Time
Country / State: Ireland
Function Category: Compliance
Your role: Member of the Lantern Compliance team providing compliance services to Lantern and other areas as required. Emphasis will be with respect to compliance responsibilities regarding Fund management, UCITS, AIFMD, MIFID and AML.• Be main point of contact for compliance queries for Lantern products and Lanterns operation as a Fund Management Company. Provide expert advice and guidance to business units• Provide detailed reporting to the Head of Compliance on a regular basis• Maintain formal governance and oversight of regulatory risk, identifying potential and actual risks and implementing effective risk treatments in conjunction with the business• Assist in the assessment and...