Compliance Specialist

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Fineco Asset Management Culture & Value Statement

Promoting Fairness and Inclusion

Equal Opportunity Employer statement

Fineco Asset Management DAC is proud to be an Equal Opportunity Employer. We are committed to enforcing non-discrimination of candidates based on their religion, race, ethnicity, age, gender (including pregnancy and gender identity) disability, sexual orientation, civil or family status, or for being a member of the Traveller community. We embrace and celebrate diversity in our workforce, and we are committed to creating an inclusive environment for all of our employees.

About Fineco Asset Management DAC

Fineco Asset Management DAC (‘Fineco AM’) is a Dublin based Asset Management Company, and a subsidiary of FinecoBank S.p.A. (“FinecoBank”). FinecoBank (“Fineco”) is a leading European bank with a 20-year history and a fully digital DNA with a branchless approach since the start. Fineco is one of the banks with the widest products range available. Fineco have developed a truly one-stop-solution which includes trading, investment and payment services. Fineco have developed a 100% proprietary platform for trading and investment which covers all customer needs from trading listed and OTC product to investment product such as mutual funds and ETF.

Fineco AM, which started its operations in May 2018, is authorized by the Central Bank of Ireland as a UCITS & AIFM Management Company with a MIFID top up, and it currently has approximately €34bn in assets under management. Fineco AM is a competence centre- specialised in the management of fund-of-funds, single strategy funds, as well as Structured Solutions Funds. In addition to portfolio management activities, all key supporting and controlling functions, such as Compliance, Risk, Finance and Legal, are also performed locally. Fineco AM started with 5 employees and has grown rapidly over the past 6 years with a headcount currently sitting at over 80 FTEs and growing quickly (half of our headcount was hired during the pandemic period).

Currently Fineco AM manages 3 UCITS Umbrella Funds – in Luxembourg (1 fund) and in Ireland (2 funds).

Main Responsibilities:

The ideal candidate will have a background in Compliance in asset management and, preferably, direct experience in a Super Manco (AIIM/ MiFID top up).

The Compliance Specialist’s duties will include but will not be limited to the following:

• Reviewing of FAM marketing materials and working with the FAM sales and marketing team to ensure that the marketing material meet the ESMA and any other relevant guidelines/requirements.Liaising with FinecoBank (FAM’s distributor and parent company) in their respective review of FAM marketing materials and filing of same with CONSOB;managing and overseeing the compliance review process to ensure that the marketing materials are compliant with the ESMA regulations and EAA;
• Managing (and preparing) Compliance Risk Assessments, evaluating compliance related topics with an independent mindset and proposing appropriate improvements;
• Providing advice and support to the portfolio managers and staff more generally in compliance related topics;
• Able to apply and implement the Group Policies in the local Irish regulatory framework;
• Support the CCO and the Compliance team as required and provide support to the Compliance Team;
• Strong knowledge of all applicable UCITS/AIFM/MiFID legislation/regulations; and
• Help implement new processes with relevant departments for MiFID/AIFM firm (e.g. transaction reporting, suitability, due diligence, investment advice, etc.)

Key Skills, Experience & Requirements

• 5+ years’ relevant Compliance experience gained in an asset management company or similar organisation;
• Experience in reviewing fund marketing material;
• Accounting or legal degree (preferred) or business degree;
• Facility with Italian language would be a very helpful skill in relation to the marketing reviews;
• LCOI qualification or willingness to study for qualification preferred
• Deep knowledge of the UCITS Regulations;
• Strong knowledge of financial products and financial markets;
• Excellent verbal and written communication skills;
• Strong planning, problem solving;
• Well organised with strong time management and relationship skills; and
• Be enthusiastic and eager to learn, self-starter

What we offer:

• Growth Opportunities: Unlock your potential with career growth and professional development paths.
• Innovative Team: Be part of a dynamic and innovative team environment.
• Collaborative Culture: Thrive in a collaborative company culture that values your contributions.
• Generous Time Off: Enjoy 25 days of holidays to relax and recharge.
• Hybrid Working: Benefit from a flexible hybrid working policy—3 days in the office, 2 days flexibility to be remote.
• Health and Dental: Comprehensive Healthcare and Dental coverage for your well-being.
• Perks and Programs: Access to TaxSaver, Bike to Work scheme, educational sponsorship opportunities, and professional memberships.
• Discretionary bonus: Opportunity to earn a performance based discretionary bonus

Fineco Asset Management DAC is proud to be an Equal Opportunity Employer:

We are committed to enforcing non-discrimination of candidates based on their religion, race, ethnicity, age, gender (including pregnancy and gender identity) disability, sexual orientation, civil or family status, or for being a member of the Traveller community. We embrace and celebrate diversity in our workforce, and we are committed to creating an inclusive environment for all of our employees.

Equal Opportunity Employer (EOE) Statement:

The Fineco Group is proud to be an Equal Opportunity Employer and is committed to creating a working environment that is safe and inclusive, based on mutual respect and valuing every kind of diversity, offering equal work opportunities.