Our Cork based client has an opportunity for a Head of Compliance to lead the compliance function. The ideal candidate will have a strong legal & financial knowledge ideally with stockbrokering experience.
The successful candidate will grow and lead the Global Shares Compliance Team
- Advise on setting up Compliant operational processes such as MiFID ll Transaction Reporting.
- Conduct and oversee regular testing of regulated processes in different jurisdictions.
- Lead and advise on potential regulatory issues and breaches.
- Regulatory reporting on all jurisdictions and presentation of reports to Management and Board.
- Maintain and advise on local mandatory compliance requirements
- Lead and advise the team
- Responsible for AML/CFT/FS issues arising out of local jurisdictions and ensuring consistency across the group.
- Develop and implement group strategic Group Compliance plans
- Training around AML/CFT, MiFID ll, Client Asset Handling
- MiFID ll compliance experience
- AML/KYC/CFT compliance experience knowledge of GDPR compliance
- Risk identification, assessment and management experience
- MAR and CRD IV experience
- Experience in compliance testing, results analysis, identifying improvements or remedial actions and presenting findings to senior management
- Experience working in a regulated environment
- Compliance, Legal, Financial Services, Stockbroking or other relevant qualification such as ICSA, ACOI, ICA (International Compliance Association), Institute of Banking.
Apply Now For a confidential conversation please call Marguerite Brahim 021 4944862