Head Of Compliance

6 days ago

County Dublin, Ireland Orlaroseassociates Full time

About the Role
We are seeking an experienced and strategic Head of Compliance & MLRO to lead our compliance function.
This senior role will oversee regulatory adherence, risk management, and compliance operations across the firm, ensuring we meet obligations in all jurisdictions in which we operate.
You will provide oversight to key compliance areas, mentor a growing team, and play a pivotal role in shaping the firm's governance and risk culture.
Key Responsibilities
Lead and manage the Compliance Function as the second line of defense, ensuring regulatory compliance
Oversee market abuse surveillance, AML, Counter-Terrorist Financing, sanctions, KYC, and onboarding processes
Determine when to file Suspicious Transaction Reports and manage regulatory engagement
Ensure the firm meets all obligations across Ireland and other operational territories
Provide compliance advice to business lines and contribute to projects, new products, and business proposals
Train staff on regulatory risks and changes
Oversee risk-based compliance monitoring, including risk assessments, business reviews, thematic reviews, and testing
Execute core compliance processes: market conduct, gifts & entertainment, reporting, licensing, conflicts of interest, employee trading, breach management
Draft and maintain compliance frameworks, policies, procedures, and registers, including:
Compliance Framework, Fitness & Probity, SEAR / IAF
AML, CTF & Sanctions Policy
Anti-Fraud, Anti-Bribery & Corruption Policies
Market Abuse, Conflicts of Interest, Conduct Risk, Inducements, Whistleblowing Policies
Complaints Handling, Personal Account Trading, Transaction Reporting procedures
Produce management reports for internal committees and the Board
Mentor and develop junior compliance officers to foster a high-performing team
Candidate Requirements
10+ years' experience in compliance, ideally holding PCF-12 & 52 roles within a MiFID investment firm
Experience with equities, CFDs, systematic internalisers, MTFs, exchanges, or algorithmic trading tools in regulated environments
Strong knowledge of market practices and regulatory requirements (IFR/IFD, MiFID II, etc.)
Demonstrable interest in financial markets and the brokerage/investment industry
Minimum 2:1 degree in Business, Law, Economics, or related field
Excellent written and verbal communication skills, with the ability to explain complex concepts clearly
Strong leadership, mentorship, and team development skills
High attention to detail, proactive problem-solving, and ability to work under pressure
What We Offer
High-impact role with autonomy to shape and lead your function
Opportunity to make a significant contribution to a fast-growing financial services firm
Collaborative, high-performing, and innovative work environment
Competitive remuneration package, including health, life, and disability insurance, pension, 26 days annual leave, and performance-related bonuses
Opportunities for professional growth and development
Send us an email or give us a call to discuss your recruitment needs

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