- To provide guidance to enable the company to adhere to anti-money laundering requirements including suspicious transaction reporting
- To ensure that the company complies with all regulatory requirements.
- To design and provide effective training and advisory support on anti-money laundering, fraud and data protection.
- To deliver appropriate levels of service within agreed internal service standards and regulatory expectations whilst maintaining a positive, proactive compliance culture
- To assist in the design and implementation of a risk-based annual compliance, fraud and anti Money Laundering supervision programme to ensure regulatory standards and company standards are met by the business.
- To ensure that business areas comply with applicable CBI and other appropriate regulators' rules, regulations, and guidance
- Report on compliance monitoring findings constructively and liaise with key stakeholders to address weaknesses
- Interpret regulations, rules and guidance to advise senior management where it is considered that current systems and controls require enhancements to ensure that all processes are robust and compliant in order to minimise regulatory risk, fraud and money laundering exposures.
- Provide reporting as required.
- Prepare for regulatory supervision inspections and assist with any other regulatory visits (as appropriate), to ensure the visits are managed effectively for the company and the regulator(s) and to manage any programme of remedial work.
- Co-ordinate and manage delivery of training to the relevant areas of the business where needs are identified during Compliance monitoring visits.
- Monitor and evaluate external data sources to prevent criminal activities impacting the company.
- Manage the Compliance Data Protection programme ensuring the effective delivery of data protection training and awareness.
- Ensure compliance with Company policies, regulatory, professional, and legal requirements.
- Flexible and must be prepared to undertake such other work as may be assigned to you by the Company from time to time.
- ACOI qualified would be ideal- 5yrs+ experience
- MIFID and Consumer Protection Code experience essential
- Excellent communication and interpersonal skills.
- Previous similar experience in a Capital Markets or Wealth management enviroment.
- Good PC knowledge with experience of Microsoft Office applications.
For a Private& Confidential discussion contact David Worrell on 01-8746770 or email@example.com
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