Head of Compliance & MLRO
Consultant Michael Nolan
Date posted 03 September 2018 2018-09-032018-10-29 financial-services Level 3 Custom House Plaza 2, IFSC Dublin 1 Robert Walters Ireland
A global investment bank based in Dublin is looking to hire a Head of Compliance & MLRO (PCF 15).
Key responsibilities of the Head of Compliance & MLRO:
- Ensuring the banking business and its subsidiary divisions identify and satisfy its regulatory obligations in the Europe / Asia Pacific region
- Provision of compliance advice to the business including: responding to ad hoc queries, provision of input to formal projects, new products and business proposals, consideration of reputation risk matters, policy updates, training and assessing regulatory change
- Execution of a risk based compliance testing program including: a formal risk assessment, business reviews, thematic reviews and testing, and surveillance and logging, escalation and ensuring resolution of relevant items
- Execution of various core compliance processes including: regulatory liaison, reporting, registrations, licensing, gifts & entertainment, employee trading, conflicts, projects and breaches
- Facilitating coordination between compliance teams in regional offices within Europe & Asia Pacific, and also with teams in Canada and the United States
- Facilitating coordination with other internal control functions as required, e.g. Internal Audit and Operations
- Development of AML/ATF and ABAC Compliance strategies and practices in line with legislative, regulatory and industry requirements
- Developing and managing on-going relationships with the Regulators and applicable law enforcement
- Representing the company from an AML/ATF/ABAC perspective in industry forums.
As the Head of Compliance & MLRO, you must observe proper standards of market conduct. It is your responsibility to ensure that you take reasonable steps to be fully aware of, understand and comply with all regulatory requirements from all regulatory bodies that are applicable to your business. You will promptly report any instances in which you are aware of any violation or possible violation of such regulatory requirements by yourself or others. These policies and regulatory requirements may include all, some or other regulatory jurisdictions as they relate to your business including, but not limited to: Government Securities Commissions, OSFI, IIROC, FCA, PRA, FRB, FINRA, SEC, MAS, HKMA. The firm has a acquired a MiFID brokering licence and is looking to get a full banking license in Dublin.
This is an excellent opportunity for a Head of Compliance to join a successful 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.