A Compliance Manager is sought for a 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.
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 adherence to compliance regulations.
Seniority level
Mid-Senior level
Employment type
Part-time
Job function
Legal, Consulting, and Quality Assurance
Industries
Financial Services, Insurance, and Pension Funds
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