Prosperous Financial
This listing was posted on HireLocker.
Compliance Manager
Location:
Dublin (Hybrid)
Description:
Job Title: Head of Compliance / Compliance ManagerPCF-12 and PCF-52Reporting to: CEODepartment: ComplianceProsperous Financial is recruiting a Compliance Manager for an exciting role that touches on all parts of the Compliance lifecycle within our fast-paced firm Essential responsibilities Develop and lead the compliance agenda across the business. Govern the compliance of client activities. Collaborate with other departments to create a culture of Compliance. Proactively identify situations that may pose significant compliance risks and guide management in the development/reviewing of applicable policies, procedures, and business practices. Providing advice and training on anti-money laundering, sanctions and privacy matters and performs 2nd line review of client AML risk assessments. Responsible for the delivery of the annual training plan. Respond to the CBI and other Regulator queries as well as assist with regulatory inspections as and when they arise. Manage the development & implementation of a risk-based compliance monitoring programme by effective execution of compliance tasks and identification and reporting on areas for improvement. Review and assess compliance breaches and work with the business to remediate them. Understand the various statutory and regulatory requirements and keep up to date with changes. Ensure that all the various requirements are met, with reference to the Consumer Protection Code, Handbook of Prudential Requirements, Minimum Competency Code, Fitness & Probity Standards, etc. Conduct annual reviews of Fitness & Probity of all relevant personnel. Review the Minimum Competency Code Accreditation and CPD requirements on an ongoing basis. Ensure accounts and related information are submitted to the Central Bank within relevant timescales and in correct formats. Ensure the Central Bank, ICCL, and FSO levies are paid when due Ensure Professional Indemnity Insurance is in place for the required levels of cover. Monitor any errors and client complaints and deal with these in accordance with the Consumer Code requirements. Preparing reports for the regulator(s) and maintaining an open and positive working relationship with them Ensure all employees are aware of and understand their compliance responsibilities. Requirements 5+ years compliance experience and relevant compliance qualifications within the financial services industry, preferably within a Brokerage. The Person should demonstrate a high degree of self-reliance and self-motivation. Ability to work under pressure while maintaining high accuracy and quality standards. Ability to work to and meet agreed deadlines. Ability to demonstrate integrity in all tasks and functions performed. Excellent knowledge and experience of AML / Client due diligence / Onboarding of clients. Excellent knowledge of compliance monitoring procedures and reporting. Excellent interpersonal and written communications skills. Be able to provide detailed and analytical analyses of risks posed to the business. Strong presentation skills (verbal and written) Track record of building strong control-compliant environments. Knowledge and experience of the Life, Pensions & Investment industry. QFA RequiredACOI or equivalent professional and/or 3rd level qualification required Why work with us: Excellent remuneration packages availableHybrid, flexible working model in place22 annual leave plus company days5% employer pension contributions (following successful probation) Income protection (following successful probation
Company:
Prosperous Financial
Posted:
April 18 on HireLocker
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More About this Listing: Compliance Manager
Compliance Manager is a Executive Manager Job at Prosperous Financial located in Ireland. Find other listings like Compliance Manager by searching Oodle for Executive Manager Jobs.
Compliance Manager is a Executive Manager Job at Prosperous Financial located in Ireland. Find other listings like Compliance Manager by searching Oodle for Executive Manager Jobs.