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Deputy Head of Compliance
13 Jan 2022
Deputy Head of Compliance
About the Company
With a unique entrepreneurial culture across their group, they’ve experienced exponential growth over the last 10 years with strong presence across EMEA, US and APAC regions. This role offers great exposure and breadth across regulatory compliance, AML, CTF and
About the Position
Lead the compliance function, ensuring that processes and procedures are robust and effective.
Ensure ongoing adherence to all regulatory requirements as stipulated by the CBI for MiFID Investment firms and authorised E-Money Institutions.
Responsible for the design, implementation, and execution of the Company's Compliance Monitoring Plan.
Ensure a robust process is in place to review and authorise new client accounts, ensuring that forms have been completed satisfactorily and full KYC has been carried out.
Be a thought leader in all aspects of compliance including the embedding of a pro business / pro compliance culture and rolling out training/awareness at all levels within the firm.
Support and manager the regulatory relationships with current and future regulatory bodies by building relationships
Ensure that all regulatory reporting requirements are tracked and completed for the Group.
Assist in the preparation and delivery of compliance training and awareness programme.
Identify and investigate and advise on any potential rule breaches, providing options available to manage and mitigate them.
Key liaison with internal and external auditors & Control Self-Assessment reviews.
Management of the Company's Training and Competence regime, to ensure that both ongoing regulatory and Company requirements are maintained, with specific reference to Minimum Competency Codes
Responsible for AML and CTF Legislation. Act as the company's Money Laundering Reporting Officer
Liaise with external stakeholders on all Financial Crime matters.
Liaise with Group support functions and work in tandem to constantly consider overall Group Compliance iniatives
Support and maintain a strong compliance culture in the business and lead and develop a high performing team that ensures the business maintains full compliance with the regulations throughout all of the jurisdictions it operates in.
Provision of pro-active advice to business management in the development of policies and procedures, designed to achieve and ensure compliance with corporate and regulatory requirements and corporate policies such as the Code of Conduct.
Support when needed the CCRO with prepartion of reports for Compliance Committees, Local Risk Committee and Local Operating Committees
Significant experience of working alongside the Executive and Board level and working ideally within a financial services/ trading, FX / payment’s environment
Sound knowledge of E-money regulations and MiFID investment rules in Ireland ideally.
8 - 12 years experience within compliance
Commercially and strategically astute.
Nature leader and mentor with solid communication.
Demonstrable track record in improving management reporting processes and environment.
Ability to build relationships with stakeholders across the business.
3rd level degree, compliance /risk related qualification.
Exceptionally Attractive & Competitive
For a confidential discussion, please contact
Brightwater Executive or click the apply button below.