VP – Compliance Officer Job at PineBridge Investments – in Dublin
Additional Responsibilities include:
Advising PineBridge’s sales, marketing and distribution teams on relevant marketing rules.
Execution of Firm’s compliance monitoring programme in EMEA.
Supporting the distribution oversight function in maintaining oversight of sales, marketing and sub-distributor activity for PineBridge’s CBI regulated entity. This would include conducting due diligence and performing risk assessments on sub-distributors.
Performing oversight of PineBridge’s processes to prevent financial crime including performing anti money laundering assessments of clients, counterparties and other service providers, checking against worldwide sanctions databases and performing message surveillance.
Preparation of regular and ad hoc regulatory notifications and management reports.
Monitoring of regulatory developments.
Drafting compliance policies and assisting with the update of relevant compliance manuals.
Monitoring of adherence by staff to PineBridge’s Code of Ethics.
Delivery of compliance training and participating with the Compliance on-boarding of new staff.
Participation in various regional or global projects.
Proven experience in compliance in an asset management firm or similar organisation
A self-starter and ability to work autonomously
Good interpersonal skills with ability to explain complex concepts and engage effectively with stakeholders including senior management, sales and distribution teams and middle office
Ability to multi-task and meet tight deadlines
Attention to detail with good problem-solving skills
Knowledge of the following would be useful:
EMEA regulation as relates to the distribution of funds and portfolio management services
The structure of funds and investment vehicles
Money laundering regulations
Investment strategies and asset classes such as fixed income, equity, alternatives and private equity real estate
Company: PineBridge Investments –
Company Location: Dublin