Senior Compliance Officer
We are NFP, an Aon Company, providing services and solutions to support businesses and people. Our global capabilities extend across the UK, Ireland, EMEA, APAC, and North America.
We are seeking a Senior Compliance Officer to assist the Group Head of Compliance in ensuring internal and external business-as-usual compliance requirements are fulfilled for our European arm.
Duties and Responsibilities
Regulatory Compliance:
* Develop and maintain the company's compliance framework, policies, and procedures.
* Ensure day-to-day operations align with CBI and other relevant regulatory requirements.
* Monitor regulatory changes and advise the business on required adjustments.
Compliance Monitoring and Reporting:
* Conduct regular compliance monitoring reviews and report findings.
* Support the Head of Compliance in preparing reports for senior management and regulatory bodies.
* Track and follow up on compliance-related action plans and corrective measures.
Advisory and Support:
* Provide compliance advice to business teams on operational issues and regulatory obligations.
* Assist in interpreting regulations and communicating them in a clear, practical manner.
* Identify potential compliance risks and escalate significant issues to senior management.
* Assist in developing and updating the firm's risk register.
Training and Awareness:
* Deliver compliance training sessions for staff, ensuring understanding of policies and regulatory expectations.
* Promote a culture of compliance through ongoing communication and awareness programs.
Governance and Oversight:
* Support the Head of Compliance in managing relationships with regulatory bodies.
* Assist with regulatory audits and inspections, ensuring readiness and smooth execution.
Policy and Procedure Management:
* Draft and maintain compliance-related policies and procedures.
* Ensure staff are aware of and understand compliance policies relevant to their roles.
Record Keeping and Documentation:
* Maintain accurate compliance records, including monitoring logs, breaches, and policy updates.
* Ensure appropriate filing and documentation for regulatory audits and reviews.
Incident and Breach Management:
* Investigate compliance breaches and incidents.
* Support the Head of Compliance in recommending corrective actions.
* Work collaboratively with other business units to address compliance issues.
* Act as a liaison between the compliance team and operational departments.
Leadership and Management:
* Build strong working relationships with other departments, fostering collaboration on compliance issues.
Person Specification
Knowledge, Skills and Abilities:
* Demonstrable experience in compliance roles or similar within the financial services sector.
Education and/or Experience:
* Central Bank of Ireland (CBI) experience.
* High degree of integrity with high ethical standards.
* Proficiency with Microsoft Office and the ability to adapt to new systems quickly.
* Experience gained within a compliance function or industry-specific operations will be assessed in line with the specific requirements of the role.