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Interpret and apply applicable laws, regulations, and guidance relevant to a regulated fund administration company, including Investment Firms Regulations, AML/CFT, IAF/Fitness & Probity, CBI guidance on resilience and outsourcing
Monitor regulatory developments and lead the assessment and implementation of new or revised requirements
Provide proactive compliance advice and guidance to stakeholders across Operations, Risk, Legal, and other functions
Act as a key point of contact for compliance matters, escalating more complex issues as required
Support and provide compliance oversight on business initiatives, including new products, outsourcing arrangements, and strategic change projects
Lead the drafting, review, and ongoing maintenance of compliance policies and procedures, ensuring alignment with regulatory expectations and business practices
Oversee the implementation of policy and procedural changes across the business
Execute and contribute to the ongoing enhancement of the Compliance Monitoring Programme, including thematic reviews, control testing, and risk-based assessments
Oversee the timely and accurate submission of regulatory filings, reporting, and responses to regulatory queries and inspections
Prepare high-quality compliance reporting for senior management, Group Compliance, Risk Committees, and the Board
Review alerts, support investigations, and escalate suspicious activity in line with established procedures
Contribute to business-wide AML risk assessment, including analysis and reporting of key risks
Oversee the identification, logging, investigation, and remediation of compliance breaches, ensuring appropriate follow-up actions
Maintain oversight of compliance records, registers, and documentation to ensure they are complete, accurate, and audit ready
Support the development and delivery of compliance and AML/CFT trainings, promoting a strong culture of compliance awareness
Represent Compliance in client interactions, due diligence processes, and external stakeholder engagements
Participate in internal and external committees and working groups, representing the Compliance function as required
Contribute to team development, knowledge sharing, and continuous improvement initiatives within the Compliance function
Requirements
7 years’ experience in a fund administration, or regulated financial services compliance environment
Strong understanding of regulatory requirements applicable to the fund services providers sector, with particular focus on AML/CFT
Experience in the design, implementation, and execution of compliance policies and procedures
Experience in the design, implementation, and execution of compliance monitoring programmes
Relevant compliance, AML, or financial crime qualification
University degree in Business, Law, Governance, or a related discipline, or equivalent professional qualifications or industry experience