Associate Regulatory Compliance

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

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.

Summary

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.

Essential duties and responsibilities

• 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.

• Experience with the CP86 framework is advantageous.

• 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.

Education:

An internationally recognised degree and/or suitable professional qualification, or equivalent.

Compliance Institute professional exams or willing to consider completing these exams