Our Client

A wealth management MiFID-authorised firm based in Dublin city centre seeking to recruit a Head of Compliance & Risk (PCF 14 & 15), subject to Central Bank approval.

The Opportunity

Join a collegiate, talented team
Hybrid and flexible working
City centre office - parking
Positive culture
Be a key member of the senior management team
Excellent Board exposure
Autonomy and scope to shape the role, with support as require
Competitive Package

Key Duties & Responsibilities

Act as the Firm’s Risk Officer and hold PCF14 role
Manage the Firm’s Risk function, develop the Firm’s risk management Strategy for Board approval, and maintain the Firm’s risk management framework.
Manage the firm’s Internal Capital Adequacy Assessment Process
Coordinate risk management activities.
Review the management of key risks & evaluating the reporting of key risks
Evaluate the risk management process.
Ensure the Board and senior management are informed of their roles regarding risk management e.g accountability, setting the Firm’s risk appetite, imposing risk management processes, taking decisions on risk responses.
Act as Compliance Officer, MLRO, and hold PCF15 role. Includes:
Manage the Firm’s compliance and regulatory responsibilities.
Act as principal liaison with the Central Bank on regulatory matters, complete regulatory returns, maintain compliance records, and complete reporting to the Central Bank.
Promote a compliance culture within the Firm.
Maintain registers of conflicts of interest, operational incidents and suspicious transactions.
Responsible for investigating, rectifying & reporting compliance issues.
Develop, implement and maintain a compliance programme designed to support and monitor compliance and work with the business in a consultative capacity.
Arrange the delivery of the annual compliance programme (risks, controls, procedures).
Horizon scan and interpret new regulatory requirements, identify relevant compliance requirements and work with the business to ensure that appropriate procedures and controls exist to address these requirements.
Ad hoc duties and projects as required.

Key Skills & Qualifications

Appropriate qualifications relating to financial services compliance and/or qualifications relevant to compliance role e.g. ACOI, Diploma in Financial Services Law, ACA, Solicitor, QFA.
Minimum 4 year's relevant regulation/compliance experience in Investment Firm, Banking or wider relevant regulatory environment.
Detailed knowledge relevant Irish/ EU legislation i.e. MIFID II, CRD, AML, GDPR.
Strong communications skills and capable of dealing effectively with the Regulators and the firm's Staff, Senior Management & Board.
Ability to work on own initiative.
Excellent communication skills- verbal and written.
Excellent attention to detail.
Solutions-focused and positive.

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