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FAMI - Compliance Officer

Data: 28-ago-2021

Luogo: Dublin, IE

Società: Intesa Sanpaolo Group

Fideuram is among the key private banking players in Italy. Deeply rooted at local level, it ranks first among the financial advisory networks in Italy, fourth in terms of Private Banking and sixth among traditional banks.
It is looking for qualified profiles who want to be involved in a stimulating and challenging career opportunities.

Fideuram Asset Management Ireland (FAMI) established in 2001, is an UCITS management Company belonging to Fideuram Intesa Sanpaolo Private Banking, owned by Intesa Sanpaolo Group, the leading Italian financial group. FAMI currently manages approximately €40 billion worth of assets, with over 135 funds. FAMI is regulated by the Central Bank of Ireland.

Scopo e Attività

Main activities:

  • Identifying applicable regulations; monitoring and implementing any changes to same and continuously enhancing best practices in the Dublin office
  • Managing relationships with the company's key main stakeholders (Central Bank of Ireland, Luxembourg CSSF, Clients, Brokers, external Investment Managers, Distributors, Fund Administrator, Custodian Bank, internal and external Auditors, Outsourcers, etc.)
  • Ensuring compliance at all times with the corporate and UCITS Management activities carried out by the Company under Irish Luxembourg Laws and Regulations, Internal and Group Procedures. Main areas: provide advice on Limit monitoring, breaches and NAV Errors reporting, advisory support to Portfolio Managers and Traders, liaising with Brokers and Broker set-up, New-Sub Funds lunch, Prospectus and Management Regulation amendments, KIIDs, EMIR, Market Abuse, Product Governance, GDPR, Fitness & Probity regime, Corporate Governance, Company's Act, Related Parties, Companies Registration Office requirements
  • Ensuring compliance with UCITS and MiFID regulation, i.e.: conflict of interest, classification, best execution, inducement, personal transactions, remuneration
  • Reviewing and maintaining the Compliance Manual and the Monitoring Plan
  • Conducting relevant compliance activities in accordance with the Monitoring Plan
  • Identification and timely escalation of any compliance issues arising during, or as a result of, the compliance related activities performed
  • Ensuring timely and accurate completion of regulatory reporting via ONR System
  • Participating and contributing to the review of internal policies and procedures and providing compliance advice as required to the business
  • Monitoring and supporting the Company's London branch with regard to compliance with the applicable UK laws and regulations
  • Assisting with the regular reporting to the Board of Directors
  • Liaising with the relevant external legal Counsel

Esperienza Richiesta

 

At least 10 years of experience in compliance in the financial services sector, preferably asset management.

Prior experience in a regulatory authority (such as the CBI) would be a distinct advantage.

Qualifiche Richieste, Skills e Competenze

 

  • Proven experience in successfully managing relations with internal and external stakeholders (regulatory authorities, senior management, group compliance, portfolio managers, traders)
  • Excellent knowledge of the Irish regulatory framework
  • Knowledge of the UCITS regulatory framework as implemented in Luxembourg would be a distinct advantage
  • Knowledge of the FCA Handbook as applicable to an investment firm would be an advantage
  • Excellent level of English, written and spoken. Other languages such as Italian or French would be an advantage
  • A compliance-related certification would be an advantage
  • Autonomy, attention to detail and accuracy

Everyone is an asset for our Group and that person could be you! Check out our job opportunities, apply and join our team!