Head of Compliance

A boutique Wealth Management firm are recruting for a Head of Compliance for their Dublin office. This is an excellent opportunity for a Compliance professional looking to take their first step into a PCF role or indeed a seasoned compliance professional looking for a new challange in a smaller firm. 

Key Responsibilities of the Head of Compliance:

• Manage the company’s compliance and regulatory responsibilities
• Act as principal liaison with the Central Bank on regulatory matters
• Completion of Regulatory returns and other reporting to Central Bank of Ireland
• Maintain the Compliance records relating to the firm’s regulated activities
• Maintain the firms procedures to ensure compliance with regulatory requirements
• Regular monitoring of firms activities including file inspections and reviews of documentation prepared
• Providing training for the purposes of compliance requirements including new employee induction and regular training on emerging regulatory requirements
• Maintain registers of conflicts of interest, operational incident and suspicious transactions
• Responsibility for investigating rectifying and reporting of compliance issues arising in the business
• Develop, implement and maintain a compliance programme designed to support and monitor compliance and work with the business in a consultative business-partner capacity
• Arrange the delivery of the annual compliance programme
• Liaise with the Board and Management Team to raise awareness of compliance risks and the actions taken to mitigate and manage same
• Interpret new regulatory requirements, identify relevant compliance requirements and work with the business to ensure that appropriate procedures and controls exist to address these requirements

The Head of Compliance will have proven Compliance experience in a MiFID environment with an ability to work on your own initiative and to complete a range of tasks from preparing regulatory returns to reporting to the Board.