Our Client:

A wealth management MiFID-authorised firm based in Dublin city centre seeking to recruit a Head of Compliance & Risk (PCF 14 & 15), subject to Central Bank approval.

The Opportunity:

• Join a collegiate, talented team
• Hybrid and flexible working
• City centre office - parking
• Positive culture
• Be a key member of the senior management team
• Excellent Board exposure
• Autonomy and scope to shape the role, with support as require
• Competitive Package

Key Duties & Responsibilities: 

• Act as the Firm’s Risk Officer and hold PCF14 role
• Manage the Firm’s Risk function, develop the Firm’s risk management Strategy for Board approval, and maintain the Firm’s risk management framework.
• Manage the firm’s Internal Capital Adequacy Assessment Process
• Coordinate risk management activities.
• Review the management of key risks & evaluating the reporting of key risks
• Evaluate the risk management process.
• Ensure the Board and senior management are informed of their roles regarding risk management e.g accountability, setting the Firm’s risk appetite, imposing risk management processes, taking decisions on risk responses. 
• Act as Compliance Officer, MLRO, and hold PCF15 role. Includes:
• Manage the Firm’s compliance and regulatory responsibilities. 
• Act as principal liaison with the Central Bank on regulatory matters, complete regulatory returns, maintain compliance records, and complete reporting to the Central Bank.
• Promote a compliance culture within the Firm.
• Maintain registers of conflicts of interest, operational incidents and suspicious transactions.
• Responsible for investigating, rectifying & reporting compliance issues.
• Develop, implement and maintain a compliance programme designed to support and monitor compliance and work with the business in a consultative capacity.
• Arrange the delivery of the annual compliance programme (risks, controls, procedures).
• Horizon scan and interpret new regulatory requirements, identify relevant compliance requirements and work with the business to ensure that appropriate procedures and controls exist to address these requirements.
• Ad hoc duties and projects as required.

Key Skills & Qualifications:

• Appropriate qualifications relating to financial services compliance and/or qualifications relevant to compliance role e.g. ACOI, Diploma in Financial Services Law, ACA, Solicitor, QFA.
• Minimum 4 year's relevant regulation/compliance experience in Investment Firm, Banking or wider relevant regulatory environment.
• Detailed knowledge relevant Irish/ EU legislation i.e. MIFID II, CRD, AML, GDPR.
• Strong communications skills and capable of dealing effectively with the Regulators and the firm's Staff, Senior Management & Board.
• Ability to work on own initiative.
• Excellent communication skills- verbal and written.
• Excellent attention to detail.
• Solutions-focused and positive.