Job Location Dublin
Consultant Donal Whelan
Posted 17 November 2017
An international Pension and Investment firm are recruiting for a Senior Compliance Consultant for their Dublin office. The Senior Compliance Consultant will report into the Chief Risk & Compliance Officer and will be an important role in ensuring that the function delivers its annual compliance plan with specific emphasis on regulatory implementation, technical compliance matters and compliance monitoring exercises.
Key Responsibilities of the Senior Compliance Consultant:
- Assist the CRCO with:
- enhancing the Company’s existing risk and compliance framework;
- developing and maintaining policies and procedures supporting a culture of integrity, compliance, risk management and excellence;
- assisting with the identification of potential risks and financial services compliance issues associated with existing and proposed products and services;
- supporting the annual regulatory risk assessment process which influences the annual compliance plan and annual compliance monitoring programme;
- promoting quality enhancement measures;
- supporting the Company’s governance arrangements as necessary (most notably the Risk Committee).
- Play a key role in assessing and understanding proposed changes in the regulatory environment and how these will likely impact the Company.
- Lead and manage regulatory implementation projects across multiple lines of business.
- Take a leadership role in the delivery of the Company’s annual Compliance Monitoring Programme, managing and completing a number of compliance monitoring reviews.
- Act as a technical compliance point of contact for queries relating primarily to MiFID but ideally to insurance mediation also.
- Involvement in the management of regulatory matters and compliance issues, including:
- Correspondence with regulators and involvement in regulatory examinations;
- Conducting issue-specific investigations as necessary.
- Build strong relationships with front line business colleagues to further develop the Company’s compliance culture.
The Senior Compliance Consultant will have a proven track record in a compliance/regulatory function, ideally in an investment firm with strong knowledge of MiFID. A third level degree along with LCOI designation is preferable but not essential
If you are a Compliance professional considering a move, please don't hesitate to contact Donal Whelan at Lincoln Recruitment Specialists. Our Compliance team recruit for Compliance roles across all levels of the Financial Services sector; Head of Compliance, Compliance Manager, Compliance Officer, Compliance Advisor, MLRO, AML Manager, AML Officer, Regulatory Analyst.
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