A Compliance Manager (PCF-12) is sought for reputable Financial Services Intermediary Firm, based in Central Dublin.
Reporting to the Managing Director, this is an exciting opportunity for an experienced compliance professional to move into a senior position, where you will hold full oversight and responsibility for the compliance function.
This is a permanent position, sought on a part-time basis.
Responsibilities include:
Overall responsibility as Compliance Manager to ensure that all of the regulatory and compliance obligations of the organization are met.
Independently assess the quality of regulated advice given to clients.
Ensure sales processes and supporting documentation comply and adhere to all compliance regulations and the Central Banks Codes of Practice.
Review and restructure the compliance function/processes accordingly.
Advise on all compliance risks, monitor/audit, report and escalate compliance requirements.
Maintain and update relevant compliance policies and procedures manuals and monitoring programmes appropriate to our business activities.
Liaise with regulatory/ legislative and industry representative bodies on any Compliance issues or matters regarding the operation of the business.
Manage the Fitness & Probity and MCC requirements for new and existing staff.
Manage complaints handling and act as arbitrator on complaints including the Financial Services Ombudsman Bureau.
Train all new staff on compliance obligations and keep staff updated on changes and/or requirements as they occur in the industry.
Manage the attendance and completion of LIA and other exams as necessary for staff.
Deliver training and manage the CPD & AML requirements of all staff.
Requirements:
At least 3 years previous experience in a similar position within the Financial Services industry.
Experience in Life & Pensions intermediary is advantageous.
Proven experience improving or implementing processes and procedures.
Hold a relevant Compliance Qualification e.g.
ACOI Hold a relevant Industry Qualification e.g.
QFA Can demonstrate knowledge of relevant legislation and regulations specifically relating to industry and business.
Excellent communication skills and strong ability to deal with stakeholders at all levels.
Ability to work on own initiative and drive the relevant changes within the business to ensure for adherence to compliance regs.
Skills:
Compliance AML Data Processing Quality Control Quality Assurance Financial Advisor Financial Planning