Compliance Distribution Manager

Job ID

36496

Location

Dublin, Ireland

Work Types

Full Time, Permanent

Categories

Funds, Internal Legal, Management, Private Equity and Real Estate

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About TMF Group

TMF Group is a leading provider of critical administrative services, helping clients invest and operate safely around the world. Our 11 000+ experts and 125+ offices in 87 jurisdictions worldwide serve corporates, financial institutions, asset managers, private clients and family offices, providing the combination of accounting, tax, payroll, fund administration, compliance and entity management services essential to global business success

Discover the Role

TMF Fund Management Company (Ireland) Limited is regulated by the Central Bank of Ireland. It is a fast-growing third-party fund manager, of AIFs and UCITS, supported by an in-house investment management team.

We are seeking an experienced Compliance professional, reporting to the DP Regulatory Compliance & Senior Counsel.

Key Responsibilities

• Assisting/ delivering an annual compliance monitoring and business plan to the Board/ or Senior Leadership Team as required
• Carrying out compliance risk assessments to enable a risk-based approach to the scope of the monitoring programme and the establishment of priorities to ensure that compliance is comprehensively monitored
• Conducting and overseeing internal reviews and periodic testing to ensure that compliance procedures are followed. Working with internal audit on testing of compliance framework and controls
• Maintain compliance logs (e.g., conflicts of interest, PEP, connected and related parties)
• Manage compliance calendars and manage and oversee CBI Portal reporting and filing
• Assist with regulatory change and interpretation, drafting regulatory updates
• Drafting and maintaining adequate policies & procedures, guidance and checklists to ensure compliance with TMF's legal & regulatory obligations
• Liaise with MLRO and work on MLRO projects, maintain client AML CDD on Fenergo
• Deliver timely reporting to Board, CBI, senior management, clients and group Compliance as required and attend at board meetings
• Manage Fitness & Probity / IAF reporting
• Drafting and delivering local Compliance training
• Monitor fund activities to ensure compliance with applicable regulatory requirements, fund prospectuses, and internal policies
• Investigate compliance breaches, monitor remediation actions, and escalate material issues where appropriate

Distribution oversight
The role involves client interaction, independent work within a team, and supporting the DP for Distribution

• Oversight of the Distribution function
• Preparation of quarterly reports to the Board
• Attendance and presentation to Board of Directors (assisting in drafting Distribution Memo to Board of Directors - new fund/sub-fund launch/revised distribution strategy)
• Record keeping distribution agreements/distribution channels
• Ensuring compliance with CBI regulatory procedures
• Dissemination of pre-marketing material/ Marketing Material
• Maintenance of Records

Key Requirements

Key Business Expertise and Candidate Profile:

• Knowledge and experience working in third-party management companies
• Strong AML skills and Fenergo experience
• CBI liaison and reporting experience
• Strong knowledge of AIF and UCITS regulations,, CP86 Fund Management Company Guidance/Pre-Marketing/UCITS KIIDS/PRIPS KIDS/CESR, SFDR, EMIR, AML, Fitness & Probity, IAF, Outsourcing
• Sufficient experience and expertise (incl. escalation of matters requiring judgment)
• Candidate will be a self-starter with limited oversight required
• Excellent record keeper
• Strong communication skills
• A participant in industry bodies and working groups

Operation Excellence:

• Executes business strategy in line with guidance set out by senior management, ensuring sustainable and, where appropriate, profitable results
• Would be seen within immediate team as a Technical Expert in their specialist area and is fully knowledgeable on day to day activities
• Will have basic operational risk management awareness and actively promotes a culture of risk awareness across immediate team
• Drives improvements to business area delivery by innovating new ways of working across business area delivery whilst ensuring that appropriate controls are in place
• Be able to demonstrate accountability for own responsibilities
• Will be expected to make tactical decisions, impacting the immediate team, based on factual information

What's in it for you?

Pathways for career development

• Work with colleagues and clients around the world on interesting and challenging work
• We provide internal career opportunities so you can take your career further within TMF
• Continuous development is supported through global learning opportunities from the TMF Business Academy

Making an impact

• You'll be helping us to make the world a simpler place to do business for our clients
• Through our corporate social responsibility programme, you'll also be making a difference in the communities where we work

A supportive environment

• Strong feedback culture to help build an engaging workplace;
• Our inclusive work environment allows you to work from our offices around the world, as well as from home, helping you find the right work-life balance to perform at your best

We're looking forward to getting to know you!