A boutique Wealth Management firm is recruiting 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 challenge in a smaller firm.
Key Responsibilities of the Head of Compliance: Manage the company's compliance and regulatory responsibilitiesAct as principal liaison with the Central Bank on regulatory mattersCompletion of Regulatory returns and other reporting to Central Bank of IrelandMaintain the Compliance records relating to the firm's regulated activitiesMaintain the firm's procedures to ensure compliance with regulatory requirementsRegular monitoring of firm's activities including file inspections and reviews of documentation preparedProviding training for the purposes of compliance requirements including new employee induction and regular training on emerging regulatory requirementsMaintain registers of conflicts of interest, operational incidents, and suspicious transactionsResponsibility for investigating, rectifying, and reporting of compliance issues arising in the businessDevelop, implement, and maintain a compliance programme designed to support and monitor compliance and work with the business in a consultative business-partner capacityArrange the delivery of the annual compliance programmeLiaise with the Board and Management Team to raise awareness of compliance risks and the actions taken to mitigate and manage sameInterpret new regulatory requirements, identify relevant compliance requirements and work with the business to ensure that appropriate procedures and controls exist to address these requirementsThe 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.
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