Head of Global Markets Compliance
Consultant Claire Dunwoody
Date posted 18 June 2018Level 3 Custom House Plaza 2, IFSC Dublin 1 Robert Walters Ireland
A global investment banking company based in Dublin is looking to hire a Head of Global Markets Compliance to join their team.
Key responsibilities of the Head of Global Markets Compliance:
- Providing advice and mentorship on applicable exchange and regulatory requirements and firm policy issues and requirements
- Ensuring timely and accurate responses to regulatory enquiries, including discussion with regulatory bodies relating to information required and deadlines
- Preparing for and coordinating regulatory visits, including briefing meaningful staff, noting pertinent Compliance points/questions raised by regulators during the visits, and following up on action points generated during visits where required
- Providing transparency around our regulatory obligations to ensure the use of trading systems and algorithms comply as required
- Participating as required in internal investigations into potential breaches of regulatory requirements or firm policy
- Contributing to departmental initiatives with respect to regulatory developments and impact analysis on company’s business and support organisations
- Liaising with and informing competent regulatory authorities about significant risks that may affect fair and orderly trading and major incidents
- Working closely with Global FICC Compliance and Legal teams to ensure consistency in approach and standard methodologies
- Reviewing/updating Compliance policies and ensuring they are consistent with global and local regulatory practices
- Assisting with the development of new and/or updating existing Monitoring & Testing items for the FICC EU Compliance Program from a local and global perspective and ensuring they are conducted, with appropriate raising and resolution of any issues or matters arising from those activities
- Conducting impact analysis of new regulations on the FICC EU Business
- Keeping abreast of regulatory change/developments and working with partners to implement from a Compliance perspective
- Performing Risk Assessments on the FICC EU Businesses and resolving any necessary control enhancements/audit items required
- Contributing to the Compliance Programme and delivering appropriate Compliance training
As the Head of Global Markets Compliance you will be Educated to degree level or equivalent experience in compliance, legal or regulatory qualifications. You will have knowledge of relevant laws, rules, and regulations, which would include: Rules of the Irish Financial Regulator/CBI, Market Abuse Regulation, MIFID/MiFID II/MiFIR, EMIR and applicable US rules. You will have a genuine interest in FICC markets, the design and use of financial instruments, the banking world, and regulation and changing legislation with experience in dealing with regulators. You will have the ability to translate laws, rules and regulations into practice (including policies / procedures). You work independently, and as a great teammate, contributing to nurturing an upbeat team culture.
This is an excellent opportunity for a Head of Global Markets Compliance to join a successful organisation based in Dublin.
If you are interested in the Head of Global Markets Compliance role, please apply today or contact Claire Dunwoody on the details provided for more information.