Senior Compliance Manager MiFID
Salary €90,000 - €110,000 per annum + Benefits
Consultant Michael Nolan
Date posted 28 December 2018 2018-12-282019-02-16 financial-services Level 3 Custom House Plaza 2, IFSC Dublin 1 Robert Walters https://www.robertwalters.ie https://www.robertwalters.ie/content/dam/robert-walters/global/images/logos/web-logos/logo.gif
A global investment banking and capital markets firm is increasing its headcount in Dublin by 80 people and looking to hire a Senior Compliance Manager to report into the local Head of Compliance.
Reporting to the Head of Compliance, the Senior Compliance Manager will be responsible for:
- Execution of local core processes including regulatory liaison, reporting, registrations, licensing, gifts & entertainment and employee trading
- Maintenance of relevant logs and registers to include the above as well as conflicts, projects and breaches
- Coordination with compliance teams in regional offices within Europe & Asia Pacific, and with teams in Canada and the United States
- Coordination with internal control functions as required, e.g. Internal Audit and Operations
- Assist the Head of Compliance in ensuring the company identifies and satisfies its regulatory obligations in the Europe / Asia Pacific region
- Consideration and escalation of the regulatory, reputational and ethical risk associated with proposed strategies and business lines
- Provision of compliance advice to the business
- Execution of a risk-based compliance testing
- Development of local testing program including input into the global program
- Execution of the local and global testing program
- Investigate trade and other surveillance exceptions
- Maintenance of relevant logs and registers
As the Senior Compliance, you will likely be educated to degree level (or equivalent) or alternatively with a relevant qualification in Compliance. Significant experience working in a compliance role in a MiFID regulated firm preferably within capital markets and with knowledge of fixed income products. Experience of managing and delivering on projects/change initiatives. Manages the expectations of multiple stakeholders and delivers appropriate solutions for complex issues.
This is an excellent opportunity for a Senior Compliance Manger to join a successful organisation based in Dublin.
If you are interested in this, please apply today or contact Michael Nolan on the details provided for more information.