Compliance Manager

7 days ago

Dublin, Dublin City, Ireland 360 Search Full time

A Compliance Manager is sought for a reputable Financial Services Intermediary Firm, based in Central Dublin.

Reporting to the Managing Director, this is an exciting opportunity for an experienced compliance professional to move into a senior position, where you will hold full oversight and responsibility for the compliance function.

Responsibilities include:

  • Overall responsibility as Compliance Manager to ensure that all of the regulatory and compliance obligations of the organization are met.
  • Independently assess the quality of regulated advice given to clients.
  • Ensure sales processes and supporting documentation comply and adhere to all compliance regulations and the Central Banks Codes of Practice.
  • Review and restructure the compliance function/processes accordingly.
  • Advise on all compliance risks, monitor/audit, report and escalate compliance requirements.
  • Maintain and update relevant compliance policies and procedures manuals and monitoring programmes appropriate to our business activities.
  • Liaise with regulatory/ legislative and industry representative bodies on any Compliance issues or matters regarding the operation of the business.
  • Manage the Fitness & Probity and MCC requirements for new and existing staff.
  • Manage complaints handling and act as arbitrator on complaints including the Financial Services Ombudsman Bureau.
  • Train all new staff on compliance obligations and keep staff updated on changes and/or requirements as they occur in the industry.
  • Manage the attendance and completion of LIA and other exams as necessary for staff.
  • Deliver training and manage the CPD & AML requirements of all staff.

Requirements:

  • At least 3 years previous experience in a similar position within the Financial Services industry.
  • Experience in Life & Pensions intermediary is advantageous.
  • Proven experience improving or implementing processes and procedures.
  • Hold a relevant Compliance Qualification e.g. ACOI.
  • Hold a relevant Industry Qualification e.g. QFA.
  • Can demonstrate knowledge of relevant legislation and regulations specifically relating to industry and business.
  • Excellent communication skills and strong ability to deal with stakeholders at all levels.
  • Ability to work on own initiative and drive the relevant changes within the business to ensure adherence to compliance regulations.
Seniority level

Mid-Senior level

Employment type

Part-time

Job function

Legal, Consulting, and Quality Assurance

Industries

Financial Services, Insurance, and Pension Funds

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