Overview
A leading investment management firm is currently seeking a Senior Compliance Officer to join its Dublin office.
Reporting to the Chief Compliance Officer (“CCO”), you will review the effectiveness of core pieces of the Compliance Framework, analyse and identify any areas of improvement or development, and implement necessary changes. Compliance Monitoring will be a primary function of this role, among other responsibilities. To achieve their goals, you will work closely with the other Compliance team members, other Compliance teams, and Senior Management across the Group.
As a senior member of this team, you will lead and implement evolutions in the Compliance Framework, drawing from experience, to enhance the existing programmes. You will work within the global compliance department to promote standardization. You will perform much of the daily monitoring and testing of the Compliance Monitoring Programme, and lead other non-AML aspects of this Framework including risk management, governance, reporting, training, and regulatory requests. You will also deputise for the CCO, collaborating with internal audit, senior management, regulators and other external parties on regulatory matter and governance fora. You will lead by example, providing guidance, coaching and assistance to junior members of the team.
Key Responsibilities
- Lead and manage the Compliance Monitoring Programme to effectively evaluate company compliance to it’s obligations under MiFID II and evaluate effectiveness of procedures
- Coordinate the full monitoring and testing lifecycle from development of the Annual Plan, model testing criteria, performance of the testing, drafting of review reports, to the delivery of Management Information to the appropriate governance fora
- Manage and deliver regulatory requests for information e.g. Common Supervisory Actions, within timelines and with necessary internal review and approvals
- Ensure prompt filing of all regulatory filings and returns
- Collaborate across all departments within the Compliance Programme which may include IT, and Finance, Third-party Vendors and users
- Proactively manage changes in the Compliance Framework arising from regulatory changes, identify potential issues, and implement effective processes
- Create documentation supporting Compliance Framework components and record-keeping requirements, so compliance can be demonstrated easily
- Coach, mentor, motivate and oversee program team members and contractors, and use your influence to create a positive impact
- Work with Senior Management partnering to provide guidance, assurance, oversight, and promote the effectiveness of the Compliance Framework
Skills, Knowledge & Experience
- Bachelor’s Degree or equivalent combination of education and experience required
- 8+ years of experience in 2nd line role within a regulated financial services entity
- Excellent oral and written communication skills
- Comfortable working both independently and in a team-oriented, collaborative environment
- Dynamic and able to support shifting priorities and timelines proactively
- Past success eliciting cooperation from different sources, including senior management,
- internal clients, and other departments
- Able to classify and prioritize work balancing various concurrent tasks
- Display sound discretion and good judgment regarding confidential matters
- Comfortable working cross-functionally with different departments across the company
