Funds Compliance Associate Funds Compliance Associate …

in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 29 Sep 21
in Dublin, Leinster, Ireland
Permanent, Full time
Last application, 29 Sep 21
Posted by:
Natalie Lis • Recruiter
Posted by:
Natalie Lis
PIMCO is looking for a talented Funds Compliance Officer to provide support for its Irish Fund range. The Funds are mostly UCITS, with some liquid AIFs. They are managed by the Management Company domiciled in Ireland and distributed across the world. The Funds Compliance Officer will advise on and monitor compliance with the laws and regulations governing the Funds and its Management Company. This is a wide-ranging role covering all compliance topics related to the Funds.

The role covers the following activities:

  • Implement the Fund Compliance Oversight Programme;
  • Conduct Fund monitoring activities in accordance with the compliance monitoring plan, document results and propose enhancements where
  • meaningful;
  • Review, and where necessary draft and implement relevant compliance policies and procedures;
  • Provide compliance input into the oversight of the Funds' delegates (e.g. Fund Administrators and Investment Advisers);
  • Review breaches, liaise with the Depository and advise on the resolution;
  • Support with the implementation of the compliance training plan;
  • Provide regulatory advice to the business as needed;
  • Prepare management information such as Board reports;
  • Provide input in Fund compliance projects as needed
  • The role will report to the designated Compliance Officer of the Management Company.

At least 2-3 years of relevant experience (investment manager’s compliance or risk functions, or audit/consulting experience in investment management);

The candidate will be expected to have a strong knowledge in a majority of the following subjects:

  • UCITS and AIFMD requirements
  • Fund governance / CP86
  • Investor protection
  • Product governance
  • Conflicts of interest

Experience with performing monitoring activities, audits or other forms of reviews requiring critical thinking and judgment is required;

Self-starter with an ability to work effectively in a fast paced and evolving environment;

Experience with the preparation of senior management reports is desirable;

Overall good communication, time management and delivery skills are required. The role involves ongoing coordination with other

compliance team members, numerous business units and external parties.

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