Head of Compliance

4 weeks ago

Dublin, Ireland Quilter Full time

About the Business

Our Dublin office was established in 2003 and has a strong and cohesive team who share a vision to provide high-quality investment services. We have a long and successful track record and have safely navigated the economic turmoil of recent years, drawing on the extensive experience and skill of our investment managers. In 2019 the office was authorised and established as Quilter Cheviot Europe Limited to serve clients across the European Union.

Quilter Cheviot Europe is a subsidiary of Quilter Cheviot, one of the UK's largest discretionary investment management firms. We work with private clients, trustees, charities, pension funds, and their professional advisers. We provide personalised and professional investment management services for investors who wish to have their portfolios managed on a bespoke basis, with their investment manager taking responsibility for investment decisions within the portfolio.

Our aim is to preserve and grow our clients' wealth. We work with over 40,000 clients across the UK, Dublin, and Jersey and manage over £27 billion in assets.* (*As at 31 December 2023)

The main purpose of this role is to assume the PCF15 designation and act as Head of Compliance and PCF 52 designation and act as Money Laundering Reporting Officer (MLRO) with responsibility for Anti-Money Laundering and Counter Terrorist Financing Legislation, for Quilter Cheviot Europe. To be responsible for ensuring the business has effective systems, procedures, and controls for compliance with requirements, standards, and codes of conduct under the regulatory framework including regulatory compliance, governance and Anti-Money Laundering and Counter Terrorist Financing.

About the Role

Level: 6

Location: Dublin

Contract: Permanent

Department: Risk and Compliance

The Key Accountabilities, but are not limited to the following:

  1. Member of Executive Committee/Attendee at QCE Audit and Risk Committees and Board meetings
  2. To advise line management on all applicable regulatory obligations, including business and regulatory developments and on the procedures required to ensure compliance with these obligations.
  3. Provide training to line management and employees as required ensuring that each individual is made aware of their regulatory responsibilities and the procedures they must follow to ensure compliance and to promote a positive compliance culture.
  4. To build and maintain constructive relationships with our core stakeholders including the regulator.
  5. Support the design and execution of a comprehensive monitoring programme covering all aspects of the business and its branches to check that business continues to be conducted in compliance with all relevant regulation and that any breaches are remediated promptly.
  6. To assist 1st line management in ensuring that they establish and maintain effective systems and controls to minimise the risk of regulatory losses, and or negative customer outcomes.
  7. To act as MLRO for Dublin.
  8. To implement and maintain internal controls and risk management around Money Laundering and Counter Terrorist Financing.
  9. To complete an AML risk assessment and to oversee the ongoing assessment of existing and potential clients, making appropriate recommendations to management and the Board.
  10. To keep a record of any Suspicious Transaction Reports and report these to the CBoI / Garda / Revenue as necessary.
  11. To advise management in relation to any proposed new business initiatives and projects that have regulatory or customer considerations.
  12. To represent the QCE business at relevant industry forums to share best practice.
  13. Direct and manage the performance and development of team members.
  14. Set an example for team members of commitment, compliance activities, work ethics and habits and personal character.
  15. Maintain accurate compliance records.
Senior Executive Accountability Regime (SEAR) Roles

Pre-Approval Control Function (PCF):

PCF 12 Head of Compliance

PCF 52 MLRO with responsibility for Anti-Money Laundering and Counter Terrorist Financing Legislation

To report formally to management and directors in writing every year on the effectiveness of the firm's systems and controls and adequacy of resources for managing the firm's compliance and Money Laundering risks including Counter Terrorist Financing.

About You
  • A recognised professional qualification and degree preferred.
  • Experience in compliance or a regulatory oversight role at a senior level essential.
  • Experience of the wealth management industry and prior regulatory experience including an understanding of the Client Assets Regulation would be of benefit.
Inclusion & Diversity

We value diversity and strive to promote inclusivity in all aspects of our culture. We believe in equal opportunities for all, ensuring that no applicant encounters less favourable treatment based on anything but their skills, qualifications, experience, and potential. We celebrate the unique contributions of a diverse workforce and create a respectful, nurturing environment where every colleague can thrive.

Values

Do the right thing: We act with integrity and are proudly committed to going above and beyond in service of our clients and the support we provide our communities.
Always curious: We continuously seek new ideas and knowledge so we're one step ahead of our clients' needs. We look for inspiration everywhere and encourage experimentation, recognising that this is how we create brilliant solutions for brighter futures.
Embrace challenge: We aim high to transform our potential into meaningful outcomes. With ambition as our driving force and a steadfast commitment to growth, we succeed for the good of every generation.
Stronger together: Combining our diverse talents, we accomplish more collectively than we ever could do alone. We speak openly, actively listen, and support each other, and constructively challenge and embrace new ideas. We seek empowerment and demonstrate ownership and trust, with the confidence to make impactful decisions.

Core Benefits

Holiday: 182 hours (26 days)

Quilter Incentive Scheme: All employees are eligible to participate in the incentive scheme, to incentivise business performance and their contribution.

Pension Scheme: A non-contributory company pension scheme that can be boosted through personal contributions.

Private Medical Insurance: Single cover as standard with options to increase cover to include your partner or children.

Life Assurance: 4x your salary.

Income Protection: 75% of salary, less state benefits, payable after 26 weeks of absence.

Healthcare Cash Plan: Jersey employees only.

In addition to our core benefits, we offer a range of flexible benefits to UK employees that you can choose from and pay for conveniently via a salary deduction.

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