Associate, Regulatory Compliance

Waystone leads the way in specialist services for the asset management industry.

Reporting to the Director - Regulatory Compliance, the Associate - Regulatory Compliance will be an integral part of the team’s success. The role holder will operate within an Irish firm authorised as a UCITS Management Company and Alternative Investment Fund Manager. This role is an integral part of the wider Global Compliance unit.

About waystone

• Partnering with institutional investors, investment funds and asset managers, Waystone builds, supports and protects investment structures and strategies worldwide.
• With over 20 years’ experience and a comprehensive range of specialist services to its name, Waystone is now serving assets under management in excess of $2Tn.
• Waystone provides its clients with the guidance and tools to allow them to focus on managing their investment goals with confidence.

Responsibilities

• Essential d uties and r esponsibilities Lead the upkeep of the various registers, including filings, regulatory correspondence, conflicts of interest, complaints, ERMA, RoPA, etc.
• Assist with the oversight of delegate Service Providers and outsourcing arrangements.
• Review Fund Board reports and work with Relationship Manager to ensure completeness of reporting .
• Aid in the preparation of Board reports, meetings, due diligence visits, and other reports to suitably advise of compliance risks and issues.
• Ongoing collaboration with the management of the team mailbox.
• Work closely with the DP for Regulatory Compliance and engage other units.
• Support the Governance Framework by recording and keeping robust processes and procedures.
• Monitor identified regulatory changes impacting the firm and set appropriate plans against these.
• Promote an effective training program and strong compliance culture.
• Other tasks as necessary from time to time.

Requirements

• Experience Relevant experience in a compliance team of a FSP (or equivalent), or control function environment, preferably within a Fund Management Company.
• Knowledge of key regulations e.g. UCITS/AIFMD, SFDR, EMIR/SFTR, AML/CFT, Operational Resilience, Outsourcing and hot topics.
• Excellent organizational skills and an ability to prioritize multiple tasks concurrently.
• Strong written and verbal communication skills are essential.
• Ability to work autonomously and as part of a team.
• Independent and creative thinker with enthusiasm for further learning and project work.
• An internationally recognised degree and/or suitable professional qualification, or equivalent.
• Compliance Institute professional exams or willing to c onsider c ompleting these exams

Preferred

• Experience with the CP86 framework is advantageous.