Head Of Compliance
5 days ago
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
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