Compliance Manager

Location:

Dublin (Hybrid)

Job Type:

Permanent / Full Time

Sector:

Risk, Compliance & Legal

Salary:

Negotiable

360 Search are recruiting for a Compliance Manager to join a highly regarded Financial Services Advisory Firm for an exciting role that holds oversight of the compliance function and lifecycle.
  
Essential responsibilities 

  • Develop and lead the compliance agenda across the business. 
  • Govern the compliance of client activities. 
  • Collaborate with other departments to create a culture of Compliance. 
  • Proactively identify situations that may pose significant compliance risks and guide management in the development/reviewing of applicable policies, procedures, and business practices. 
  • Providing advice and training on anti-money laundering, sanctions and privacy matters and performs 2nd line review of client AML risk assessments. 
  • Responsible for the delivery of the annual training plan. 
  • Respond to the CBI and other Regulator queries as well as assist with regulatory inspections as and when they arise. 
  • Manage the development & implementation of a risk-based compliance monitoring programme by effective execution of compliance tasks and identification and reporting on areas for improvement. 
  • Review and assess compliance breaches and work with the business to remediate them. 
  • Understand statutory and regulatory requirements and keep up to date with changes. 
  • Ensure that all the various requirements are met, with reference to the Consumer Protection Code, Handbook of Prudential Requirements, Minimum Competency Code, Fitness & Probity Standards, etc. 
  • Conduct annual reviews of Fitness & Probity of all relevant personnel. 
  • Review the Minimum Competency Code Accreditation and CPD requirements on an ongoing basis. 
  • Ensure accounts and related information are submitted to the Central Bank within relevant timescales and in correct formats. 
  • Ensure the Central Bank, ICCL, and FSO levies are paid when due 
  • Ensure Professional Indemnity Insurance is in place for the required levels of cover. 
  • Monitor any errors and client complaints and deal with these in accordance with the Consumer Code requirements. 
  • Preparing reports for the regulator(s) and maintaining an open and positive working relationship with them 
  • Ensure all employees are aware of and understand their compliance responsibilities. 

  
Requirements 

  • 5+ years compliance experience and relevant compliance qualifications within the financial services industry.
  • Experience within Brokerage/Intermediary environment preferable.
  • The Person should demonstrate a high degree of self-reliance and self-motivation. 
  • Ability to work under pressure while maintaining high accuracy and quality standards. 
  • Ability to work to and meet agreed deadlines. 
  • Ability to demonstrate integrity in all tasks and functions performed. 
  • Excellent knowledge of compliance monitoring procedures and reporting. 
  • Excellent interpersonal and written communications skills. 
  • Be able to provide detailed and analytical analyses of risks posed to the business. 
  • Track record of building strong control-compliant environments. 
  • Knowledge and experience of the Life, Pensions & Investment industry. 
  • QFA Required
  • ACOI or equivalent professional and/or 3rd level qualification required

HOLLY RAILES

Associate Director

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