Compliance Manager

  • negotiable
  • Dublin, Leinster, Ireland
  • Permanent, Full time
  • Lincoln Recruitment Specialists
  • 23 Sep 16

Compliance Manager

Compliance Manager


Our client is recruiting for a senior advisory compliance role based in Dublin covering the Irish businesses, predominantly the Prime Services (Prime Broking, Stock Lending & Flow Financing) functions that have been newly established in the Dublin Branch. The individual must be an experienced high calibre candidate operating at VP level.

The Prime Services businesses in Dublin will include Prime Brokerage, Stock Lending and Prime Financing. Shared Services functions including Risk and Operations will support these businesses locally.


Responsibilities will include:

  • Assist the Head of Compliance in providing appropriate advice, challenge and control to the business in managing the compliance risk in the Irish entities, predominantly in the Prime Services business by executing diligently the obligations of this second line of defence function;
  • Undertaking the execution of the compliance monitoring and surveillance plan;
  • Act as the deputy MLRO, with a corresponding understanding of the Irish AML regulations being a pre-requisite;
  • Manage the compliance relationship with senior Prime Services business management in Dublin and interact seamlessly with compliance and business colleagues in international offices;
  • Manage and drive forward regulatory changes affecting the Dublin based Prime Services businesses, ensuring appropriate collaboration across other Compliance functions, Shared Services and the Business;
  • Liaising with the Central Bank and other regulators as required with the goal of maintaining an effective working relationship with the Central Bank’s supervisory resources;
  • Identify and assess regulatory or reputational risks and escalate to senior management for resolution;
  • Communicate clearly and concisely on complex regulatory and compliance issues to senior Business and Compliance management.



  • Excellent technical regulatory and compliance knowledge, ideally with exposure to Prime Services, trading and brokerage, stock lending, client servicing and the application of regulation to these business activities including obligations arising under the MiFID rules;
  • Effective and proven ability to manage cross functional issues and stakeholders and exercise sound judgement;
  • Excellent oral and written communication skills, an inquisitive mind and possess the ability to articulate sound reasoning in a high pressure environment;
  • Appropriate third level qualification in Law or Finance highly regarded.


Contact: Michael Costello – mcostello(@)