Senior Compliance Manager
About this job
A recognised and renowned Wealth Management firm are recruiting for a Senior Compliance Manager for their Dublin office. Reporting to the Head of Compliance, the Senior Compliance Manager will play a key role in the strategic development of the compliance team and the overall compliance framework.
Key Responsibilities of the Senior Compliance Manager:
- Responsible for the provision of compliance advice and guidance for the Investment Banking and Asset Management businesses.
- Manage queries and inspections by regulatory authorities including the Central Bank of Ireland and FCA.
- Ensure ongoing development of the firm’s compliance policies and procedures.
- Identify relevant regulatory changes and publications affecting the Investment Banking and Asset Management businesses. Work with the first line of defence to ensure timely implementation of all relevant items.
- Report to management on compliance issues, including through the creation of timely, concise and relevant MI.
- Take responsibility for the design and delivery of Compliance training to relevant business units.
- Oversee the firm’s trade surveillance framework and consistently challenge to ensure that it is operating effectively.
- Report to the firm’s Compliance Committee on key Compliance matters affecting the firm.
- Participate in the development and continuing maintenance of the firm’s Compliance Monitoring programme. Provide input on Compliance monitoring through the firm’s monthly Compliance Monitoring forum.
- Manage a small team effectively and ensure they obtain relevant experience and develop meaningfully as Compliance officers.
The Senior Compliance Manager will have strong knowledge of the Irish regulatory framework and an excellent understanding of regulations pertaining to Financial Markets such as Market Abuse.
If you are a Compliance professional considering a move, please don’t hesitate to contact Donal Whelan. Our Compliance team recruit for Compliance roles across all levels of the Financial Services sector; Head of Compliance, Compliance Manager, Compliance Officer, Compliance Advisor, MLRO, AML Manager, AML Officer, Regulatory Analyst.