Compliance Manager - Capital Markets

Location Dublin
Discipline: Banking & Finance, Legal, Risk & Compliance
Job type: Permanent
Salary: 50000 to 90000
Contact name: Martina Maher

Contact email: martina@executiveconnections.ie
Job ref: J40111
Published: about 2 months ago
Startdate: ASAP

My client is looking to for a Compliance Manger for their Capital Markets team. The successful candidate will be expected to provide expert compliance services under the Consumer Protection Act and the Criminal Justice Act to several clients in conjunction with the Relationship Manager and to maintain strong and long-lasting professional relationships. 

 

Responsibilities

  • Take on the role of ‘Head of Compliance’ PCF12 for a client / number of clients

  • Provision of quarterly compliance reporting and annual AML training to the boards of company client’s Irish entities.

  • Prepare AML policy and Business Risk Assessment for the entity’s business activities for review and inspection by the CBI.

  • Maintain the regulatory registers (e.g., Complaints, Errors & Breaches logs) for clients where required.

  • Review client company policies to ensure they are compliant with local legislation.

  • Provision of KYC screening services on the third-party customers of client entities.

  • Manage the relationship with key clients.

  • Collaborate with external regulatory authorities when needed.

  • Being familiar with and keeping up to date with all statutory and regulatory requirements and relevant guidance applicable to the business model.

  • Staying informed of emerging statutory and legal requirements.

Skills, Knowledge and Experience:

  • Must hold the LCOI qualification

  • Minimum 3 years in a compliance capacity at Officer or Manager level

  • Experience in Financial services or professional services

  • Knowledge of legal requirements and controls

  • Familiarity with industry practices and professional standards

  • Relationship Management

  • Adaptability with the ability to prioritise and work under pressure

  • Excellent communication skills with very strong written skills

  • Integrity and professional ethics

  • Attention to detail

 

Permanent role, is based in Dublin and offers hybrid working.  This is an exciting opportunity for the right candidate and comes with an attractive package.  If you are interested, please forward your CV for consideration today or phone 017038818