Head of Compliance
Salary €90,000 - €120,000 per annum + competitive
Consultant Michael Nolan
Date posted 22 June 2018Level 3 Custom House Plaza 2, IFSC Dublin 1 Robert Walters Ireland
A multinational institutional broker is moving its EU HQ to Dublin and seeking to hire a head of compliance to become an integral part of its start up here driving the compliance culture of the EU entity.
Key responsibilities of the Head of Compliance:
- Support EMEA Head of Regulation and Compliance to advise and support all aspects of the business from a compliance perspective and in managing relationships with regulators
- Review new product/business initiatives; implement new rules and regulations and ensure the business meets the compliance standards required; prepare and implement new policies and procedures
- Assist in thematic and ad hoc regulatory visits by the CBI and timely implementation of any recommendations
- Participate as required in internal investigations of potential breaches of regulatory requirements and policies
- Maintain compliance monitoring plan for EU entity and its members, and associated systems and controls to ensure compliance with internal rules, regulatory and execution venue rules, and generate appropriate MI
- Provide compliance oversight of the business
You will have 5+ years’ experience in equity sales & trading or similar industry (asset management) and you will possess a detailed knowledge of equities and regulatory requirements for a MiFID Investment Firm (this level of experience is intended as guidance only and does not preclude someone with more or less experience from applying for the role).
This is an excellent opportunity for a head of compliance to join a fast growing organisation based in Dublin.
If you are interested in the head of compliance role, please apply today or contact Michael Nolan on the details provided for more information.