Senior Funds Lawyer & Compliance DP

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Senior Funds Lawyer & Compliance DP

TMF Group

Dublin, Ireland

Legal

Advising on, drafting, amending, negotiating and settling fund contracts/ fund agreements including material agreements, administration agreements, depositary agreements, investment management agreements, distribution agreements, facilities agreements and other fund related agreements (such as depositary control deeds and duty of care banking arrangements);
Advising on, drafting, amending, negotiating and settling third party service provider contracts and inter-group agreements;
Legal and regulatory review of fund documents including offering memoranda, prospectus, supplements, KIIDS, PRIPS KIDs, application forms/subscription documents;
Project management and liaison with external fund counsel on all fund launches, post-authorisation amendments, CBI pre-submissions and regulatory changes;
Provide legal advice and guidance to TMF on all legal and regulatory matters (e.g., AIFMD, UCITS, EMIR, SFDR, SFTR, GDPR, AML, CBI Guidance, Outsourcing, Operational Resilience, fund distribution) and completion of assigned legal/ regulatory projects;
Collaborate with internal and external teams to develop effective legal strategies and contribute to the overall success of the company.

Compliance and MLRO

Fulfilling and reporting on all areas of oversight associated with the role of PCF 39 F Designated Person for Regulatory Compliance and PCF 52 Head of Anti-Money Laundering and Counter Terrorist Financing Compliance (MLRO) of a fund management company;
Developing and maintaining a robust effective compliance framework such that TMF operates all fund management activity in a CBI regulated compliant manner and in accordance with applicable policies and procedures;
Carrying out the role of the permanent compliance function for TMF;
Delivering an annual compliance business plan to the Board/ or Senior Leadership Team as required;
Developing, maintaining and actioning a compliance monitoring programme for TMF that takes into consideration all areas of fund management activities;
Draft and maintaining adequate policies & procedures, guidance and checklists to ensure compliance with TMF’s legal & regulatory obligations;
Conducting and overseeing internal reviews and periodic testing to ensure that compliance procedures are followed. Working with internal audit on testing of compliance framework and controls;
Carrying out compliance risk assessments to enable a risk-based approach to the scope of the monitoring programme and the establishment of priorities to ensure that compliance is comprehensively monitored;
Driving improvements in compliance awareness through the evaluation of needs, and delivering a training and development programme, with input from compliance monitoring program, and internal or external audits;
Maintain accurate compliance registers (e.g., conflicts of interest, PEP, connected and related parties);
Manage compliance calendars and manage and oversee CBI ONR reporting;
Provide support to the BII Head of Governance, Risk, Compliance and Legal as appropriate.

General

Lead the TMF Legal and Compliance function (incl. MLRO);
Production of board reports and presenting at TMF board meetings (quarterly and ad-hoc);
Regulatory horizon scanning and conducting thorough legal research, draft, or revise legal documents, and provide insightful analysis related to applicable laws and regulations to ensure compliance in all activities and to support the company;
Coordination of processes with key internal and external stakeholders including designated persons, company secretary, investment management team, client facing teams, funds team, business management, service providers and outside counsel;
Ensuring business is carried out to the highest standards of best practice and governance standards, in particular with respect to the delivery and evidencing of controls and processes across all management functions;
Review of board packs, board minutes and DP reports;
Identifying areas of improvement in processes and documentation;
Addressing communication and guidance from the CBI in respect of compliance and regulatory matters;
Ensuring all regulatory and legal filings are made on time including to the CBI and other competent authorities;
Interacting with the CBI in relation to regulatory matters, inspections and issues arising;
Handle and manage a variety of matters legal and regulatory matters including litigation as may arise;
Any other matters related to the role of legal, compliance and governance.

In essence, we are looking for a high performer with a thorough understanding of CBI regulatory regime, someone who will wrap their arms around the role and who can deliver the highest level of legal and compliance standards, as well as communicate confidently with all levels of the organisation, work well within a team environment, own and drive forward workload and use initiative to continually assess and improve existing processes for TMF and our clients. This is a great opportunity and strategic career step for the right individual.

Professional Experience and Qualifications

Key Business Expertise:

At least 3 years’ experience at a senior level (10 years’+ total experience) in a relevant funds related, compliance, legal, audit, controls or regulatory role;
Excellent legal and regulatory experience with gained in private practice and/or in-house;
High performer and experience of working in a highly regulated environment;
You should have a third level qualification in compliance, business, finance or law;
The ability to translate regulations and Central Bank guidance into practical procedures;
Strong organisational skills with excellent attention to detail;
The ability to co-ordinate inputs from a large number of diverse sources and form strong working relationships across multi-disciplinary teams;
The ability to identify and prioritise areas of importance using a risk-based approach;
Good interpersonal skills and the ability to communicate effectively with key stakeholders;
The ability to deliver outputs to specific timescales;
High awareness of the need to seek best solutions within a highly regulated context;
Highest professional and ethical standards;
Excellent analytical, technical and drafting skills;
A high level of commercial and business awareness;
A calm and measured approach to problem solving;
Ability to work independently and as part of a team;
Excellent communication skills;
Solution oriented proactive approach;
Self-starter, uses initiative, thrives in a fast-paced environment; and
A proven track record in managing competing priorities and deadlines.