Head of Private Client 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 private client compliance.
Key responsibilities of the head of private client compliance:
- Provide daily Compliance coverage for the Private Side businesses and build relationships with business partners
- Provide advice and mentorship on applicable regulatory requirements, policy issues and requirements
- Provide dedicated, timely advice on the relevant regulatory and firm policy requirements on ad hoc queries, specific transactions, new product initiatives, etc.
- Provide assistance to the Business Controls Office in the development of supervisory practices
- Ensure that appropriate Monitoring & Testing is conducted, in line with compliance risk assessments and on a timely basis with appropriate critical issue and resolution of any issues or matters arising from those activities
- Assist in preparing for regulatory visits, including conducting reviews of affected areas; briefing relevant staff; coordinating the logistics of the visit and contributing to the follow-up actions
- Ensure timely and accurate responses to regulatory enquiries relating to Private Side businesses including discussion with regulatory bodies relating to information required and deadlines
- Participate as required in internal investigations into potential breaches of regulatory requirements or firm policy
- Contribute to department initiatives in respect of regulatory developments and impact analysis on the firm’s business and support organisations
- Liaise with colleagues including Global and Regional LOB Compliance, EU Country Compliance, GFCC, the Control Room, other Lines of Business, and across regions
- Work closely with the Global Compliance and Legal departments to build and deploy global policies and procedures
- Ensure development and delivery of appropriate compliance training for Private Side employees
As the head of private client compliance you will be educated to degree level in legal, Compliance or Regulatory qualifications, or previous equivalent experience in a similar role. You will have genuine interest in the securities markets and the banking world, regulation and changing legislation with experience in dealing with regulators. Sound risk management skills and an ability to apply good discernment, take decisions when required and to call out when necessary.
This is an excellent opportunity for a head of private client compliance to join a successful organisation based in Dublin.
If you are interested in the head of private client compliance role, please apply today or contact Claire Dunwoody on the details provided for more information.