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Senior Compliance Director

  • Sector:

    Legal & Compliance

  • Job type:

    Permanent

  • Contact phone:

    RUTH LYNDON

  • Contact email:

    ruth@phoenixsearch.com

  • Contact phone:

    0876599222

  • Published:

    23 days ago

  • Expiry date:

    2021-03-31

The Company: 


A renowned, dynamic global financial services organisation in on-going growth mode. 

The Opportunity:

  • A key strategic and influential compliance opportunity.

  • C-Suite and board or director exposure.

  • Join a dynamic, supportive, personable Compliance division. 

  • Extremely competitive package.

  • High levels of autonomy but support on hand at national and global level as required. 

  • Potential to shape this role with superb career progression.

Key Duties & Responsibilities: 

  • Ensure that the organisation’s compliance function is fully compliant with the relevant legal and regulatory requirements including MiFID and MiFIDII implementing Directives and all relevant supporting regulations and guidance.  

  • Ensure that compliance risk is comprehensively monitored from a MiFID perspective; 

  • Review the organisation’s monitoring programme, taking into consideration all areas of the organisation’s investment services, activities, and any relevant ancillary services;

  • Review and maintain the organisation’s internal guideline and control measures to ensure that they remain effective and appropriate from a MiFID perspective;

  • Comply with relevant advisory responsibilities including providing support for staff training; providing day-to-day assistance for staff and participating in the creation and implementation of new policies and procedures within the organisation;

  • Prepare regular appropriate compliance reports, and present to senior management and the board as required as the organisation’s MiFID subject-matter-expert. 

  • Provide support for staff training; provide day-to-day assistance for staff and participate in the establishment of new policies and procedures within the organisation as required;

  • Prepare and present general compliance reports to senior management and/or the board as appropriate; 

  • Address any queries raised by the Central Bank and develop and foster relationships within the Central Bank as appropriate;

  • Working with the CCO and CRO, assist and advise the organisation as required to ensure that overall Governance, Risk Management Frameworks, Strategic Planning and key pillar core documents such as the ICAAP, RAS, ILAAP, etc. are in situ and fit-for-purpose in line with relevant legislative, regulatory and Central Bank requirements; 

  • Drive upstream regulatory assessments affecting the business or products;

  • Promote a compliant culture within the business and to provide assurance to all stakeholders that the business is adequately meeting its regulatory obligations;

  • Maintain and deploy expert knowledge of relevant legislative and regulatory developments both locally and globally as appropriate, including via training, industry publications, seminars, etc.; 

  • Where required, provide expert support in relation to the organisation’s Anti-Money Laundering policies, procedures and on-boarding requirements. Ensure compliance with all relevant AML / CTF legislation and regulatory requirements;

  • Contribute to the preparation and presentation of reports and results to the Board of Directors as required; and 

  • Carry out ad hoc projects and duties as required relevant to the nature and seniority of the role. 

Experience and requirements:

  • Ideally a minimum of 8+ years compliance or regulatory experience working within a MiFiD compliance/regulatory environment;

  • Professional Diploma in Compliance - Association of Compliance Officers in Ireland (ACOI), or other is desirable;

  • Posses a detailed understanding of current MiFID regulations and regulatory requirements with an ability to develop a specialism in other areas of new regulation; 

  • Strong technical knowledge of the relevant Central Bank regulations and guidance notes;

  • Prior experience liaising with, and responding to, queries raised by the Central Bank in a compliance and regulatory context, including a MiFID context;

  • Excellent communication skills with proven experience reporting to C-Suite and board level;

  • Highly motivated, with a proven ability to work on own initiative within a dynamic, evolving work environment;

  • Proven ability to forge and build relationships with relevant internal and external stakeholders; and

  • Excellent attention to detail, adaptable and proven team player.