Ian Murphy

Head of Compliance, Risk & MLRO for Concorde Investments Ireland a Mifid firm which holds Client Money and Chairman of a UCITs Fund – Vermeer UCITs ICAV. Originally from an Accountancy background. Career focused on Compliance, Risk and AML, mainly in MiFiD and Asset Management.

Regulatory Approvals: CBI (PCFs), FCA, and CSSF. BA (UCD), LCOI LIB.

Head of Compliance, Risk & MLRO - Concorde Investment Ireland Ltd - Ireland

(2022-01)

A MiFiD Firm with the authorisation to hold Client Assets.

• Maintain compliance policies and procedures, develop new policies
• Execute the compliance program - monitoring and resultant annual Compliance report
• Complete regulatory filings including F & P + IAF
• Sole point of contact for the CBI
• Review and review MiFiD Transaction reports
• Act as MLRO
• Develop and deliver compliance training – CAR, AML, IAF
• Monitor regulatory developments and communicate - DORA
• Provide compliance advice on MiFiD trading
• Management of Risk Register
• Execution of ICAAP
• Reporting and Attendance at Board meetings

Head of Compliance, MLRO, & RC - Ashmore Investment Management (Ireland) Ltd - Ireland

(2020-12 - 2022-01)

A super-Manco Fund Management Company. Contract role.

• Ensured all policies and procedures for Compliance and AML were ready for Brexit
• Completed CP 86 Fund governance requirement
• Streamlined AML policies between Ireland and Luxembourg
• Met monitoring plan for 2020/21 and completed plan for 2021/2022
• Managed Due Diligence on Investment Manager and Administrator
• Became Responsable du contrôle du respect (RC) for Ashmore SICAV Funds
• Quarterly Board reporting for Manco and Funds
• Projects: Cross Border marketing Directive and SFDR

Chair and Non-Executive Director - Vermeer UCITs ICAV - Ireland

(2016-11)

A UCITs global equities fund. Part-time role: 20 days per year.

• Responsible for oversight of the Compliance function
• Responsible for oversight of the Operational Risk function
• Full attendance at all Board meetings
• Currently overseeing the change to a new management Company – to conclude end of November

Compliance & Risk Officer - Computershare Ltd

(2020-01 - 2020-10)

MiFID Investment Firm authorised to hold Client Assets. Contract role.

• Management of the Compliance Manual and policies
• Responsible for the ICAAP
• Meeting monitoring requirements particularly in respect of Client Money
• Brexit preparations
• AML Compliance procedures

Head of Compliance & Risk PCF 14 & PCF 15 - Coinbase Ireland Ltd - Ireland

(2019-10 - 2019-12)

Authorised eMoney Firm. Contract role.

• Concluded authorisation
• Initiated operational Compliance – Compliance manual and Risk Matrix

Designated Person for Capital & Finance - Gemini Capital Management (Ireland) Ltd - Ireland

(2019-08 - 2020-06)

UCITs Management Company. Contract role.

• Completion of monthly metrics
• Submission of semi and Annual Accounts
• Board presentations

Head of Compliance (FCA F 10, CF 10a, CF 11) - Assure Hedge UK Ltd - UK

(2018-07 - 2019-10)

A Start-up FCA regulated MiFiD Firm providing the regulated service of currency options which is approved for Client Money and for PSD as an appointed Payment institution. Contract role.

Head of Compliance (FCA CF 10, CF11) - Lime Rock Management LLP

(2017-01 - 2019-01)

A MiFiD Private Equity firm specialising in energy service and exploration and production companies.

• Responsible for Compliance oversight and AML

Designated person for Compliance PCF 39 - IRES Fund Management Ltd (AIFM) - Ireland

(2015-11 - 2017-01)

IRES Fund Management Limited is an alternative investment fund manager managing Irish Residential Properties REIT Plc (a REIT) and Irish Residential Properties Fund (a QIAIF / Trust).

Compliance & Risk Consultant - Navigant Consulting - London

(2014-10 - 2014-12)

Compliance Risk Examination of Navigant's Client - Towers Watson Investment Management (Ireland).

• Review of the Regulatory Architecture and the programme of activity
• Review of the Outsourcing operations
• Reviewing of all policies, Compliance and Operations Manual and platforms used
• Oversight of all Marketing collateral
• Producing a final Report with a suite of Recommendations

AML Remediation Consultant Alternative Investment Solutions - State Street Global Services

(2014-01 - 2014-03)

State Street AIS is State Street's hedge fund services operation for State Street world-wide. AML Remediation project following State Street's take-over of the Administration of Goldman Sach's Fund administration Services for Alternatives, entailing the reprocessing of AML relating to three jurisdictions: US, Cayman, and Ireland.

Head of Compliance, MLRO & Risk PCF 15, PCF 12 - Fidelity Worldwide Investment, Ireland - Ireland

(2011-07 - 2013-08)

Fidelity in Ireland comprises of an alternative investment fund manager, a UCITs management company, and Investment firm (MiFiD) for all Fidelity domiciled funds in Ireland. It also houses an authorised Insurance firm. In addition, Fidelity housed the Group Treasury operation.

Head of Compliance and AML, PCF 12 PCF 15 - IRISH LIFE INTERNATIONAL LTD & IRISH LIFE INTERNATIONAL INVESTMENT MANAGERS LTD - Ireland

(2004-09 - 2010-09)

Irish Life International (now SEB Life International) as an authorised Insurer provides Insurance wrappers for a wide range of Funds throughout the EU.

Head of Compliance & MLRO - Investec Ireland - Ireland

(2003-11 - 2004-09)

Compliance Officer - Hamilton Lunn Asset Management Ltd

(2003-02 - 2003-10)

Sales Manager - HERBST SOFTWARE, Ireland - Ireland

(2002-02 - 2003-01)

Compliance Consultant - PA MANAGEMENT CONSULTANTS, Ireland - Ireland

(1999-07 - 2001-02)

Compliance Project Manager - MERCEDES BENZ FINANCE LTD, UK - UK

(1997-08 - 1999-01)

Head of Compliance & MLRO - UNION PLC, London - London

(1996-02 - 1997-08)

Contract Compliance - Helaba, UBS Futures & Options, Codelco

(1992-07 - 1996-02)

Operations Manager - ALEXANDER TRADE FINANCE LTD, London - London

(1989-06 - 1992-07)

Operations Accountant - GAMLESTADEN PLC, London - London

(1986-06 - 1989-05)

Management Accountant - UNITED DOMINIONS TRUST LTD, London - London

(1984-01 - 1986-06)

Accountant - A P SPENCE & CO, Dublin - Dublin

(1981-02 - 1983-11)

Trainee Auditor & Accountant - KPMG, Dublin - Dublin

(1979-09 - 1981-02)

BA - UCD

LCOI LIB - Law Society of Ireland