Head of Compliance

  • Not Specified
  • Dublin, Leinster, Ireland
  • Permanent, Full time
  • Eaton Vance Investment Managers
  • 08 Feb 19

Based in Dublin, the Head of Compliance will report directly to the CEO of EVGA and will be responsible for developing a robust compliance function with oversight of all aspects of compliance and regulatory initiatives relevant to EVGA.

By joining Eaton Vance, you’ll become part of a company that has one of the best employee retention rates in the financial services industry. We offer competitive salaries, generous benefits, and tremendous opportunities for growth and development. If you do not see a position that fits your career objectives, please return to this site in the future as our hiring needs will change. We look forward to your becoming a part of our continued success!

Location:

Dublin, Ireland

Basic Purpose:

Based in Dublin, the Head of Compliance will report directly to the CEO of EVGA and will be responsible for developing a robust compliance function with oversight of all aspects of compliance and regulatory initiatives relevant to EVGA. The role will require the individual will be responsible for ensuring that adequate systems and controls are implemented in accordance with the Central Bank of Ireland.

Primary Responsibilities:

  • Overall executive responsibility for all correspondence and regulatory filings, reports with the Central Bank of Ireland.
  • Identify regulatory initiatives relevant to EVGA.
  • Provide guidance to the Board, senior management, staff and employees on compliance matters
  • Oversee and monitor the implementation of the compliance programme.
  • Develop policies and programmes that encourage employees to report red flags including, although not limited to, regulatory breaches, fraud etc. without fear of retaliation.
  • Respond to regulatory investigations and queries as key point of contact in addition to Eaton Vance’s Chief Legal Officer.
  • Coordinate with the Head of Investments to maintain the relevant control and oversight of the delegated investment managers.
  • Arrange and support the necessary suitability checks on prospective EVGA clients; coordinate the collection of KYC data and documentation and any relevant Compliance due diligence information for clients and distribution agents.
  • Prepare and maintain the regulatory Business Plan of EVGA to be approved by the Board and, to be lodged with the Central Bank.
  • Ensure compliance with adopted Corporate Governance Code

Job Requirements:

  • Bachelor’s degree or equivalent.
  • Minimum of 8 years of Compliance experience.
  • Sound knowledge of Central Bank of Ireland regulation and regulatory issues that could affect and investment manager and distributor.
  • Knowledge and experience of fund products.
  • Ability to work with the business and build smooth working relationships.
  • Able to prioritize in fast moving, constantly changing environment.
  • Analytical and problem solving skills with excellent attention to detail.
  • Highly developed written and oral communication skills.
  • An ability to establish credibility at the most senior levels with the firm.
  • Excellent organisational skills and the ability to manage multiple tasks and meet strict deadlines.

This policy applies to Eaton Vance Corp. and all subsidiary companies (the “Company”).

The Company is an equal opportunity employer and is committed to providing a work environment that is free of discrimination and harassment. It does not discriminate against applicants or employees with respect to any terms or conditions of employment on account of race, color, religion, creed, national origin, ancestry, sex, sexual orientation, age, pregnancy, parenthood, physical or mental disability (actual or perceived), medical condition including genetic characteristics, marital status, citizenship status, military service, gender, gender identity, registered domestic partner status, domestic violence victim status, status with regard to public assistance, or any other characteristic protected by applicable federal, state or local laws. Eaton Vance also prohibits discrimination based on the perception that a person has any of those characteristics or is associated with a person who has or is perceived as having any of those characteristics. This commitment applies to all persons involved in the operations of the Company, and prohibits unlawful discrimination by any employee of the Company, including supervisors and co-workers. All employment decisions shall be consistent with the principles of equal employment opportunity.

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