Start date: Q1 2025
Location: Hybrid working with office location in Dublin
Job Description
The job function for this position is to provide compliance support for the HANetf group’ Legal and Compliance function on general commercial matters and to the front office in respect of sales and marketing activities. The Candidate will assume primarily responsibility for the administration of the product governance function covering the launch of new funds and products on the exchange traded notes platform. The Candidate will also be responsible for providing support to the Management Company and governance of funds on the platforms.
We are looking for an associate with 3+ years experience who is currently working either as a paralegal or compliance associate in an asset management firm with a commercial, capital markets or funds background, who has experience in, or wants to move into a role that is focusing on exchange traded products and is based in Ireland. This individual will be a key member of the growing Irish team and will help to enhance the HANetf Group’s presence in Ireland.
Key Accountabilities and Scope of Role
The responsibilities will include:
1. Reviewing, drafting and maintaining a broad range of compliance policies and procedures.
2. Providing support to the Head of Compliance in relation to the analysis and implementation of incoming European Regulation and any compliance matters.
3. Assisting with various corporate transactions and commercial projects from time to time.
4. Review of materials to ensure compliance with relevant regulation/codes of practice.
5. Liaising with front office (marketing and sales teams) for financial promotion queries and provision of marketing advice (with reference to external advice) across Europe and globally.
6. Answering queries from the sales team on products and regulatory matters.
7. Providing European (including UK) compliance and regulatory support.
8. Primary support for the ETF ranges domiciled in Ireland, including drafting, reviewing and updating prospectuses, KIID documentation and, if so desired, fund agreements.
9. Governance for the Manco including arranging board meetings and reviewing board materials.
10. Identifying and advising on the effective management of legal risk to the business and to implement, coordinate and manage commensurate internal controls to achieve these outcomes.
11. As appropriate liaising with external counsel and clients to set up all documentation relating to ETFs and ETCs.
12. Secondary support for ETC platform.
13. Experience with derivatives such as Total Return Swaps, Index swaps, collateral docs and ISDAs would be a bonus.
Role Requirements
Skills and Qualifications
1. 3+ years’ experience with strong project management experience.
2. Proven track record in dealing with compliance-related matters.
3. Regulatory compliance experience desirable but not essential provided there is an interest in doing this type of work.
4. Product development experience desirable but not essential provided there is an interest in doing this type of work.
5. Ability to work within a small team in Ireland, take ownership of projects and work in a cross-functional, dynamic and outcome oriented manner.
6. Excellent academic record is expected.
7. Attention to detail very important along with policy and procedure drafting skills.
8. Hard-working and energetic self-starter with an enthusiastic attitude.
9. Exceptional organisational and inter-personal skills, comfortable dealing with senior management.
10. Ability to multi-task and meet tight deadlines as well as a pragmatic approach to problem-solving.
Personal Attributes
1. Liaising in a proactive, problem-solving manner with other functional areas on compliance matters.
2. Ability to quickly grasp and solve complex problems.
3. Ability to deal with and manage change in a fluid environment.
4. Ability to examine issues from multiple perspectives.
5. Optimistic, positive attitude; a “can-do” approach.
6. Display a high degree of interpersonal and political savvy, tact and diplomacy with all constituencies.
7. Strong sense of urgency.
8. Unquestionable integrity.
The above information on this description has been designed to indicate the general nature and level of work performed by employees within this role. It is not designed to contain or be interpreted as a comprehensive inventory of all duties, responsibilities and qualifications required of employees assigned to this job. The job holder may be required to perform other duties as deemed appropriate by their manager from time to time.
HANetf is an equal opportunities employer and we welcome candidates of diverse origin, background, ability, age, sexual orientation, gender identity and personality.
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