WHAT WILL YOU DO?
As Head of Compliance for UK and Ireland, you lead the compliance function within our Trustmoore UK and Trustmoore Ireland offices (jointly referred to as “Trustmoore”). You will ensure that Trustmoore and its clients comply with all applicable laws and regulations, as well as supervisory requirements and internal policies and procedures. However, the definition of ‘compliance’ within Trustmoore covers much more than rules. Our compliance agenda is not solely driven by regulations; we take time and effort to ensure that our processes are fit for purpose in order to understand and manage our risks. As every client is different, we look for a balanced approach rather than relying on rigid procedures and checklists.
In this role, you will be working across two jurisdictions—our UK Office and Ireland Office—providing compliance support and oversight with a primary focus on Funds, Fund and Private Equity SPVs, and Capital Markets structures. You can be based either in Dublin or in London. You will work closely with the local management teams in both locations, ensuring Trustmoore’s compliance with local laws and regulations at the client level. All whilst harmonizing local policies and procedures with those of the wider Trustmoore Group where applicable.
Summarized, as Head of Compliance, you contribute to our compliance department in the broadest sense, supporting a strong compliance culture across multiple jurisdictions and specialized financial sectors.
Main responsibilities are:
* Providing input to local management of Trustmoore and the Trustmoore Group Global Risk and Compliance Committee to further improve processes leading to further lower and mitigate compliance risks;
* Acting as MLRO of Trustmoore and providing regular local management reports of its operations and progress of compliance efforts;
* Acting as a review and evaluation body within the organization and ensure compliance related regulations are adhered to and possible issues are appropriately investigated and resolved;
* Providing ad hoc advice and guidance to all financial and legal account managers on the full range of compliance topics, including e.g. AML, sanctions, privacy, conflicts of interest, outsourcing, licensing etc. in accordance with the relevant regulations;
* Providing support in the process of client acceptance and client file reviews, ensuring accuracy and completeness of the client files;
* Assisting with compliance issues during the client’s life cycle (client acceptance due diligence, transaction monitoring, periodic reviews, and exit);
* Providing training and support to the business to continuously enhance awareness and understanding of compliance risks and regulations;
* Taking part in various compliance projects and working groups;
* Acting as sparring partner for other Group compliance officers;
* Actively monitor regulatory developments in Trustmoore jurisdictions that may impact compliance policies and procedures;
* Together with local management of Trustmoore, coordinate regulatory (DOJE, HMRC) queries and audits;
* Monitor and coordinate timely licence renewals for Trustmoore licenced entities with the relevant regulatory authorities;
* Participating in Client Acceptance Meetings, Internal Compliance Meetings, Business Compliance Meetings.
HOW DO YOU FIT IN THE TEAM?
As a Head of Compliance, you need to manage ad-hoc activities next to your daily work. In this position, you need to prioritize what is important, have a hands-on and independent work mentality and be able to deal with stress. A helicopter view is required, you are proactive, know what you are capable of, possess good communication skills and not afraid of asking questions.
Other relevant qualifications for this profile:
* Master’s degree in a law related study, supplemented with a Compliance degree;
* Minimum of 7 years of compliance experience in the financial services industry, with a focus on investment funds and the capital markets sector;
* Familiar with compliance systems and processes;
* Experience in the same industry, with a focus on investment funds and/or capital markets, is a pre-requisite;
* Experience with compliance issues relating to regulatory and governance requirements and curiosity about regulatory developments;
* Understanding of risk management;
* Affinity with integrity, culture and governance requirements;
* Strong organizational and effective communication skills;
* A professional and hands-on work mentality;
* Proven team spirit;
* Strong interpersonal and presentation skills;
* Self-starting mentality, taking initiatives;
* Pragmatic approach with feel for commercial aspects of transactions;
* Excellent communication skills in English (orally and in writing).
Do you recognize yourself in this profile? We can’t wait to meet you!
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