01 634 4990 [email protected]








Compliance Executive

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.
Key Responsibilities

  • 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

Person specification

  • 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



Email: [email protected]
Phone: 01-63 44 990