Direct message the job poster from Lawson Chase
Managing Director | Alternatives, Investment & Wealth Management Search | Lawson Chase
A prominent wealth management firm is seeking an experienced Senior Compliance Officer to join its Dublin office.
Reporting directly to the Chief Compliance Officer (CCO), this role involves assessing the effectiveness of key components within the Compliance Framework, identifying opportunities for improvement, and driving necessary changes. Compliance Monitoring will be a primary responsibility, along with other critical functions. You will collaborate closely with fellow Compliance team members, global Compliance teams, and Senior Management across the organization to achieve these objectives.
As a senior team member, you will spearhead enhancements to the Compliance Framework by leveraging your expertise and experience. Additionally, you’ll work within the global compliance function to foster standardization across the organization. Your day-to-day tasks will include conducting monitoring and testing for the Compliance Monitoring Programme and overseeing other non-AML elements, such as risk management, governance, reporting, training, and regulatory requests. Acting as deputy to the CCO, you’ll engage with internal audit, senior leadership, regulators, and external stakeholders on governance and regulatory matters. Leading by example, you will provide guidance, mentorship, and support to junior team members.
Key Responsibilities
* Oversee and execute the Compliance Monitoring Programme to ensure compliance with MiFID II obligations and assess the effectiveness of procedures.
* Proactively address changes in the regulatory landscape, identifying potential challenges and implementing effective processes to adapt the Compliance Framework.
* Manage the full lifecycle of monitoring and testing, from developing the Annual Plan and testing criteria to performing reviews, drafting reports, and delivering Management Information to governance forums.
* Coordinate regulatory information requests, such as Common Supervisory Actions, ensuring timely submission with internal review and approvals.
* Ensure accurate and timely completion of all regulatory filings and returns.
* Collaborate across departments such as IT, Finance, and with third-party vendors to support the Compliance Programme.
* Develop documentation that supports the Compliance Framework and record-keeping, ensuring demonstrable compliance with requirements.
* Provide leadership, coaching, and guidance to program team members and contractors, creating a positive and supportive environment.
* Partner with Senior Management to deliver guidance, assurance, and oversight while promoting the Compliance Framework's overall effectiveness.
Skills, Knowledge & Experience
* A Bachelor’s Degree or equivalent combination of education and relevant experience.
* A minimum of 8 years of experience in a second-line compliance role within a regulated financial services organization.
* Strong oral and written communication skills.
* Comfortable working both independently and in a collaborative, team-based environment.
* Agile, with the ability to manage shifting priorities and timelines effectively.
* Proven ability to foster cooperation across various sources, including senior leadership, internal stakeholders, and different departments.
* Strong organizational skills, capable of managing multiple tasks and priorities simultaneously.
* Demonstrates discretion and sound judgment in handling confidential matters.
* Adept at working cross-functionally with diverse teams across the organization.
Seniority level
* Mid-Senior level
Employment type
* Full-time
Job function
* Legal and Finance
Industries
* Financial Services, Investment Management, and Investment Advice
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