Compliance Manager – FS recruitment

Compliance Manager required for leading Financial Services Firm ndash; Dublin Based ndash; Competitive salary.

The ideal candidate will have a minimum of 6 years experience at a senior level within a busy Compliance, Risk, Regulatory or Internal Audit Team. Previous Financial Service experience is essential.

Day to day responsibilities include -

1. Regulatory Contact

Dealing with various regulatory bodies including the Central Bank of Ireland, and Office of the Data Protection Commissioner.
Maintaining records of contact and ensuring that information owed to regulators is supplied.
Managing regulatory inspections and other visits by or to regulators, ensuring that minutes are drafted and agreed, and follow-on actions are delivered.

2. Compliance Framework

Maintaining the Companyrsquo;s Compliance Framework in terms of emerging legislation, revised controls and new business processes / functions, in conjunction with business owners.
Reminding staff of their responsibilities in terms of OATs and ensuring that relevant staff members are aware of their roles and responsibilities with respect to it.

3. Incident Management

Recording instances of breach of regulation and ensuring they are reported to internal and external parties, as appropriate.
Ensuring adequate incident reports are complied, reviewing remedial actions and overseeing implementation of such.

4. Promoting Compliance and Liaison

Acting as liaison between the Compliance function, European Compliance Team, and the company as a whole, and ensuring that Compliance teams: (i) are aware of their duties, (ii) report breaches which have occurred to the Compliance Manager; and (iii) are briefed on emerging legislation and regulatory issues to be reported to their business areas.

5. Product and promotion review

Reviewing new products, documents, and marketing materials for compliance with relevant regulatory requirements and advising where regulatory obligations may be breached with respect to such.
Escalating issues with compliance of products or promotions to senior management, where applicable, and working with relevant functions to ensure the companyrsquo;s interests are achieved in a compliant manner.

6. Projects and new processes

Understanding and reviewing new and revised business procedures and policies for compliance with relevant regulatory requirements and advising where regulatory obligations may be breached with respect to such.

Escalating concerns with compliance of new procedures to senior management, where appropriate, and working with relevant functions to ensure compliant policies and procedures are put in place.

7. Policies and procedures

Implementing, reviewing and amending the Companyrsquo;s Compliance Policy, Compliance Plan, and other relevant procedures to ensure staff are aware of the role of the Compliance function and their role in ensuring the company acts in a manner compliant with regulation.

8. Training

Conducting tailored training on with relevant business areas where necessary.

9. Emerging legislation

Reviewing relevant newsletters and attending industry fora so as to identify the emergence of new and emerging legislation.
Identifying the impact of new legislation and working with other business units to ensure efficient, effective, and timely implementation.

What's next??

If you are interested in this role or just want to have a confidential chat about what's on in the market call Hugh on (01) 4744634

I am a Professional Ethical Recruitment Consultant; your C.V will travel no further than my Email in-box until I have met with you and discussed your application in full in regards to this role.

I ALWAYS Require Financial Services Experienced Candidates Fiduciary Services - Trust Trustee - Pensions - Life Assurance - Assurance - Re-Insurance - Equity - FUNDS/ HEDGE FUNDS - INVESTMENT BANKING - SHARE HOLDER SERVICES - STOCKBROKING - PRIVATE WEALTH MANAGEMENT - RETAIL BANKING - CORPORATE BANKING - WHOLESALE BANK