MLRO and Compliance Officer – Permanent

MLRO and Compliance Officer – Permanent & Full TimeMLRO and Compliance Officer – Permanent & Full Time

PCF-52. Head of Anti-Money Laundering and Counter Terrorist Financing.

CF2 Ensuring, controlling or monitoring compliance by a regulated financial service provider with its relevant obligations.

ROLE PURPOSE

The primary objective of compliance monitoring is to ensure the Firm's compliance with Irish and EU regulation relevant to the Firms activities, to assess and report on the Firm's overall standard of compliance and recommend improvements to procedures.

The firm is a small but well-established MiFID firm, with a significant presence and a good reputation in the intermediated market in Ireland and is part of a larger international group.

The MLRO and Compliance Officer is part of a wider team and will support the day-to-day activities of the compliance and risk functions.

The MLRO and Compliance Officer will be proactive in error identification and rectification.

The MLRO and Compliance Officer will report to the Head of Compliance.

The MLRO must have knowledge and understanding of the firm's money laundering risks. The MLRO must complete, and periodically update, the firms risk assessment which outlines and provides an assessment of these risks.

Under the legislation, the MLRO is responsible for:

• Receiving internal SARs from employees in the firm;
• Making final decisions on behalf of the firm on whether these suspicions need to be reported externally to the Garda and Revenue;
• Reporting to Garda and Revenue whenever appropriate by completing and submitting an external SAR on the GoAML system and subsequently with Revenue;
• Acting as the liaison point between the firm and the Garda regarding applications for "consent" for the firm to act in respect of matters which it has reported and considers might constitute a ML offence.

The firm has a focus on continuous improvement, is very process driven and looks to build compliant processes "inline" where possible. There is very much a culture of having compliance input into first line processes.

The person will be joining a busy team with competing deadlines and priorities, and there is a potential for the person to be involved in numerous projects, including projects outside of the immediate scope of the MLRO, and Compliance Officer role.

KEY ACCOUNTABILITIES

• MLRO for the Firm. Ensuring Effective Anti-Money Laundering (AML) framework in place and oversight of AML activities and processes
• Review and revise existing AML/CTF policies, ensuring adherence with new legal and regulatory requirements
• Lead the overview and revision of AML/CTF risk assessments in line with approved methodology
• Reporting to the Board on relative business risks from AML/CTF perspective, including details on breaches, remediations etc.
• Preparation and presentation of the annual MLRO report
• Horizon scanning and analysis of regulatory changes that may affect the business
• Responsibility for Compliance monitoring activity in line with the Compliance monitoring plan on a daily, weekly and monthly basis
• Supporting the day-to-day activities of the Compliance team
• Engage in first line responses to queries from other staff, clients and intermediaries on Compliance and AML queries
• Assist with the preparation of Compliance reporting to both the firm and the wider group
• Upstream analysis of ESMA guidance and adoption and integration of best practice guidelines
• Support the Head of Compliance by taking day-to-day responsibility of maintaining various regulatory registers
• Assist the Head of Compliance with Board and other Committee reporting
• Acting consistently within Compliance Guidelines and reporting any errors or omissions in a timely manner
• Act ethically and honestly in dealings with the Company, its clients and its agents
• Supporting the team in dealing with issues/queries & working to resolve them quickly and decisively to achieve the highest levels of customer satisfaction
• Developing successful working relationships with new and existing clients and agents
• Meeting key deadlines in an efficient and competent manner

WHAT WE OFFER*

• Flexible working from home options
• Investment in your professional development (e.g. professional qualifications relevant to your role)
• Annual Leave (increases based on service)
• Paid family leave types (maternity / paternity)
• Performance based bonus / commission
• Income protection
• Life cover

*Some may apply after successful completion of probation period.

______________________________________________________________________________________________

APPLICATION PROCESS

If you think you are a good fit for this role, we invite you to email your CV and cover note to careers@conexim.iefor the attention ofKeelan Lombard.

Closing date for applications is 12pm on Friday 16 th of May.

The Company reserves the right to draw up a shortlist as part of the selection process. This role will be advertised across the Irish Life/Canada Life Group and to the external market. The selection process employed will be at the discretion of the Company.

Conexim is an equal opportunities employer.

______________________________________________________________________________________________

ABOUT US

Conexim, established in 2010, is a market leading open architecture Investment Platform, providing a range of investment solutions to the intermediary market and whose offering is available through Financial Advisors, Accountancy Firms and Pensioneer Trustees.

Conexim's risk management, dealing, technical and platform administration services are provided in conjunction with Pershing Securities International Ltd. ('Pershing'), who are one of the largest established custodians in the Irish market for domestic investors. The service and platform provided by Conexim and Pershing has been built according to international best practice and specifically adapted for the Irish market.

Conexim is a growing indigenous Irish Company and a member of Great-West Lifeco Inc group of companies who are one of the world's leading life assurance organisations.

Seniority level

• Seniority levelMid-Senior level

Employment type

• Employment typeFull-time

Job function

• Job functionLegal

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