Role Purpose:
Based in Dublin, seeking a talented compliance manager to head up the financial services division. The role offers excellent exposure to someone looking to develop their career further in a financial services/MIFID company.
It is a wide-ranging and highly-rewarding role covering various aspects of the Company’s compliance and risk frameworks.
Role Responsibilities:
*Contribute effectively to compliance risk assessments and to the production of an annual compliance plan;
*Promote and develop consumer protections with particular reference to product governance, suitability & appropriateness, etc.;
*Perform compliance monitoring and oversight reviews (including reviews of the Company’s outsourcing and delegation arrangements, AML arrangements, etc.), document results and propose enhancements where identified;
*Maintain an acute awareness of legislative developments and regulatory expectations;
*Assist with the identification, interpretation and analysis of existing and upstream legislation, which may impact on the Company's business and/or clients;
*Assist with the management of key projects from the initiation and planning stages through to execution and completion;
*Support the Company with the development, implementation and management of the Company's compliance policies and procedures;
*Review and assess compliance breaches and work with the Company to remediate and resolve any identified issues;
*Assist with the management of external relations e.g. Central Bank of Ireland, FSPO, External Auditors, etc.;
*Support the production and reporting of succinct management information to the Board;
*Contribute to maintaining a risk-aware compliance culture;
* PCF-15 capabilities
Requirements:
*At least 5 years’ experience working in a compliance/regulatory environment with a financial services or consulting firm;
*An understanding and clear appreciation of the importance of the Compliance & Risk function in a financial advisory group;
*An ability to identify key tasks and prioritise effective execution;
*Experience in implementing a risk-based compliance plan;
*Experience in executing and documenting compliance monitoring & oversight reviews;
*A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential;
*Good knowledge of the broader EU regulatory framework, including MiFID II, CRD, IDR, CMCAR.
