Home

An international financial services organisation with well established operations in Dublin seeks to appoint a Head of Compliance to a new business division. This position will involve leading the authorisation process with the Irish Financial Regulator and developing the compliance framework.

Key Deliverables:

• Lead the licence acquisition process for new entity
• Lead development of compliance policies and procedures, their implementation and the creation of surveillance programs
• Interact with senior level line of business to identify, document, and resolve compliance issues
• Ensure subsidiary’s operations are compliant with all relevant European regulatory frameworks, MiFID and regulated exchanges
• Prepare and maintain current regulatory filings and review and monitor firm’s daily transactions
• Conduct compliance monitoring of business operations to ensure they are operating in line with both regulatory obligations and corporate policy
• Represent firm in contacts with Irish regulators, including written responses to formal inquiries. Develop and deliver AML and compliance training to employees

Desired Skills:

• Experience in developing policies and procedures relating to anti-money laundering, privacy, clearance and margin, and business continuity
• Broad understanding of current OTC derivatives regulatory reform globally, as well as regulatory differences between US and non-US markets
• Experience in sales practice and trading information
• Knowledge of major exchange (e.g., LIFFE, Eurex, LCH) regulatory environments
• Experience with a multi-jurisdictional and multi-cultural client and business base is preferred
• Strong academic credentials; Series 3, Series 4, Series 24 and Series 63 preferred

Salary:

• Salary & package will be commensurate with experience

If you would like to apply for this role or find out about other compliance jobs, please apply online or contact Suzanne Feeney, Senior Consultant at Robert Walters on +353 (0)1 633 4111 quoting the Job Reference # 1114290