Overview

VP – Compliance Officer Job at PineBridge Investments – in Dublin

Job Description

PineBridge Investments is seeking a Vice President, Compliance Officer in the Dublin office to be responsible for the compliance programme for the entire EMEA region. This person will be primarily responsible for reviewing financial promotions and marketing materials issued by PineBridge’s EMEA entities.


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.

Qualifications include:
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

About Company

Company: PineBridge Investments –

Company Location:  Dublin

About PineBridge Investments -