Salary: €50k – €60k
Our client a leading provider of Investment management has need for a Compliance Executive to join their growing and dynamic team. You will oversee and control the Compliance function across the business in Ireland and European branch.
- To enable the firm to comply with its obligations resulting from its authorization under the European Communities (Insurance Mediation) Regulations 2005 (IMR)
- To ensure that the firm has the necessary policies, procedures and controls to meet the requirements set out in the IMR and those set out in the Consumer Protection Code (CPC)
- To continually monitor, review and revise the firms’ organizational structure, policies, procedures and client documentation to ensure they conform to requirements.
- Manage day-day relationship and reporting with Central Bank of Ireland and the firms Auditors
- Report on progress against Key Performance Indicators on a regular basis both internally and to Central Bank and to firms Auditors
- Assist the Compliance Director with regard to specific projects.
- Represent the Compliance Department on business initiatives and projects both internally and externally as necessary
- Provide business advice in relation to technical regulatory matters.
- Undertake appropriate professional development and training
- Maintain productive relationships with colleagues, management and business partners
- Articulate – able to communicate effectively in verbal and written form
- Solutions orientated – imaginative and a problem solver
- Commercially orientated
- Balances short and long term objectives
- Motivated, ambitious and hard-working
- Comprehensive understanding of all key areas of financial planning and generic solutions for Residents and Expatriates