Senior Compliance Analyst

Role Description

Senior Compliance Analyst - Dublin City Centre

Job Purpose:

• The purpose of the role is to manage a team of up to 10 analysts and SMEs in a busy deadline driven operational environment.
• To manage the day to day volumes of trades referred by the Transfer Agency to ensure AML compliance in line with Irish Regulations.
• The role will involve the review of new AML regulations and act as lead SME in order to implement and govern policy and best practice on behalf of the firm and the Fund.
• Oversight and implementation of effective AML reviews ensuring they align with strategic goals and objectives regarding products and services, organizational structures and existing capabilities.
• This position will require assisting with the detailed analysis of the current operating model, specific products and processes, with a view to automating and streamlining processes and assisting in delivery of any resulting AML projects.
• Development and utilization of MIS for the team.

Job Background/Context:

• The role reports directly to the Head of AML and Change management supporting the GFS business; with a matrix line to the Risk and Control Manager locally.
• The team is responsible for processing subscription and redemption referrals from the GFS TA teams both to confirm minimum acceptance in respect of subscriptions and to review compliance with AML requirements for redemptions.
• Operating in a continually changing environment and AML team need to drive forward with sustained change and process improvement.


Key Responsibilities Of the Team:

• Day to day management of team and adequate allocation of resource to ensure effective daily trade activity, screening, investor follow up and in-queries within the terms of our internal and external SLA.
• Responsible for follow up with investors regarding outstanding AML documentation and update of records in this regard, in order to be able to report effectively to investors, Clients, Auditors and Internal Compliance, regarding investor AML compliance
• Effective maintenance and archiving of all AML documentation in line with regulation
• Remediation of investor bases converted form other administrators as appropriate
• Implementation of new Clients and streamline process
• Ongoing screening of investor against sanctions lists and appropriate internal and Client reporting based on results
• Preparation for and participation in Client operational calls regarding AML for the Client’s investor base; Due Diligence visits by Clients and Investors; Auditor visits
• Ensuring a framework is in place which cultures strong relationships with External and Internal Stakeholders including  Our Clients, the TA teams in Global Fund Services
• Review and implementation of new regulations; To include involvement in all phases of an implementation project, from initial analysis, vendor engagement, testing and roll out into the operations model.
• Review of current processes and systems with the intention of identifying opportunities for operational efficiencies and defining a best in practice operating model for the AML team.
• Management of team and stakeholders through accurate and relevant metrics

Development Value:

• This is an exciting opportunity to work with Clients regarding AML and to expand and develop operational legal and regulatory expertise.
• It is a highly visible role within the bank and the role with allow the successful candidate the opportunity to influence and lead an AML team in a fast paced and evolving financial services organization.
• Provides an opportunity to define and implement a best in practice operating model (including automation) for the AML team in line with Industry and Global Fund Services strategic and operational goals.



• Extensive years funds experience, preferably in a TA/AML or Compliance environment (other AML experience will be considered)
• Ability to demonstrate management, coaching and leadership skill gained as a Team manager
• Detailed knowledge of Irish AML regulations and familiarity  with the global AML environment
• Experience of running an operational team of at least 6 people
• Knowledge of hedge and mutual funds, including investor AML
• Experience of core systems used for TA/AML/Record keeping.
• Experience of system development from an SME perspective.
• Experience of process review.


• Strong planning, scheduling and organizational skills.
• Excellent people management, including people development and coaching.
• Ability to delegate, with appropriate controls to ensure effective running of the team.
• Strong risk and control skills.
• Attention to detail and strong analytical skills.
• Ability to demonstrate good leadership and judgment in an ever changing environment
• Agile, adaptable and highly motivated.
• Excellent verbal and written communication skills, including ability to negotiate and influence.
• Demonstrable ability to interact with senior management and clients showing in-depth knowledge of AML. 
• Ability to manage numerous competing concurrent activities.
• Highly PC literate with excellent IT skills (e.g. Excel, PowerPoint, Word, Outlook)
• Valuing Diversity.



• Relevant third level qualification

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