An international investment advisory firm with offices in Dublin seek to appoint a Compliance Officer. The role will be accountable for demonstrating adherence with all Irish and foreign legal and regulatory requirements. The scope of the role includes the following duties in respect of the head office in Dublin but also in respect of all group entities in international locations (as well as any future group entities):
- Acting as the company's Designated Person for PCF-39F: Regulatory Compliance
- Maintaining an effective compliance framework such that the company can operate in a compliant manner. This framework and related procedures should ensure that there are adequate lines of defence.
- Performing a compliance risk assessment to enable a risk-based approach when determining the scope of the monitoring programme
- Maintaining a monitoring programme that takes into consideration all areas of the organisation's activities. The monitoring programme should establish priorities determined by the compliance risk assessment ensuring that compliance risk is comprehensively monitored
- Maintaining adequate policies & procedures to ensure compliance with the company's legal & regulatory obligations
- Addressing communication and guidance from the CBI in respect of compliance and regulatory matters
- Ensuring all regulatory and legal filings are made on time including to the Central Bank of Ireland and other competent authorities
- Guiding and educating the company's management and staff on compliance matters and updating knowledge on recent regulatory changes
- Conducting and overseeing internal reviews or audits periodically to ensure that compliance procedures are followed
- Conducting or directing the internal investigation of compliance issues
- Providing monthly written compliance reports* to the company's Risk Committee
- Providing quarterly written compliance reports* to the Board of Directors
The successful candidate will have strong understanding of fund and investment management firms and 8 years regulatory and compliance experience within the industry. They also must meet minimum requirements for CBI fitness and probity in respect of a PCF holder,
The SR Group (UK) Limited is acting as an Employment Agency in relation to this vacancy.