Job Title

About the Company

About the Position

Key Responsibilities

• Ensure ongoing adherence to all regulatory requirements as stipulated by the Central Bank of Ireland (“CBI”) for MiFID Investment firms.
• Responsible for the design, implementation, execution and management of the compliance framework as well as the Company's compliance monitoring plan
• Maintain the regulatory relationship with current and future regulatory bodies by building relationships.
• Executing on going controls on all operations executed by the Firm, in accordance with risk & compliance procedures.
• Responsible for the design, implementation, execution and management of the compliance framework with respect to the Company’s tied agent arrangements.
• Monitoring and oversight of the Firm’s tied agents, ensuring compliance with both local and host regulators.
• Ensuring the timely and accurate completion of regulatory filings carried out by delegates and service providers and by the Company. 
• Management of ‘training and competence’ regime, to ensure that both ongoing regulatory and Company requirements are maintained.
• Set 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,
• Act as the company's Money Laundering Reporting Officer.
• Ensure a robust process is in place to review and authorise new client accounts,
• Responsible for AML and CTF Legislation.
• Be a thought leader in all aspects of risk including the embedding of a risk culture and risk training/awareness at all levels within the firm.
• Assist in the preparation and delivery of compliance training and awareness programme in company training systems.
• Key liaison with internal and external auditors & Control Self-Assessment reviews.
• Oversight of internal control functions for core monitoring program and risk register 

• Previous PCF holder in a similar role is ideal, but a highly experienced person at CF level with experience and ability to step up to PCF will be considered too.
• Excellent organisational skills and the ability to manage multiple tasks and meet strict deadlines.
• Experience of reporting at Executive and Board level
• Strong knowledge of Investment Banking and other aligned financial services sectors with a sound understanding of MIFID requirements, marketing and distribution rules.
• Understanding of Central Bank of Ireland regulation and regulatory issues that could affect the business.
• Understanding (or willingness to learn) the regulatory regime in other EU countries,
• Experienced in compliance monitoring, testing, oversight of third parties directly and remotely. 
• Demonstrable track record in improving management reporting processes and environment.
• Ability to build relationships and communicate with stakeholders across the business.
• Be a thought leader in all aspects of risk including the embedding of a risk culture and risk training/awareness at all levels within the firm.
• Experienced in compliance monitoring, testing, oversight of third parties directly and remotely. 
• Demonstrable track record in improving management reporting processes and environment.
• Ability to build relationships and communicate with stakeholders across the business
• Bachelor’s Degree (or equivalent), ACOI qualification (Licentiate level) / risk related qualification.

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