Compliance Consultant - Mifid

  • Excellent
  • Dublin, Leinster, Ireland
  • Permanent, Full time
  • Paragon Executive
  • 03 Dec 17 2017-12-03

Report directly to Chief Risk & Compliance Officer and will be an important role in ensuring that the function delivers its annual compliance plan with specific emphasis on regulatory implementation, technical compliance matters and compliance monitoring exercises.

The Role:

  • Act as a technical compliance point of contact for queries relating primarily to MiFID but ideally to insurance mediation also.
  • Take a leadership role in the delivery of the Company’s annual Compliance Monitoring Programme, managing and completing a number of compliance monitoring reviews
  • Identifying and assessing relevant regulatory requirements enhancing the Company’s existing risk and compliance framework
  • developing and maintaining policies and procedures supporting a culture of integrity, compliance, risk management and excellence 
  • assisting with the identification of potential risks and financial services compliance issues associated with existing and proposed products and services
  • supporting the annual regulatory risk assessment process which influences the annual compliance plan and annual compliance monitoring programme
  • promoting quality enhancement measures; supporting the Company’s governance arrangements as necessary (most notably the Risk Committee)
  • Advising the business as to obligations associated with regulatory requirements
  • Challenging the business on proposals that could compromise compliance
  • Lead and manage regulatory implementation projects across multiple lines of business.
  • Involvement in the management of regulatory matters and compliance issues, including:
  • Correspondence with regulators and involvement in regulatory examinations;
  • Build strong relationships with front line business colleagues to further develop the Company’s compliance culture.

Exciting opportunity for a Compliance professional with Mifid experience looking for a step up in their career to join A global investment firm based here in Dublin.

The person:

  • Third level degree along with LCOI designation preferable;
  • Minimum of five years compliance / regulatory experience in financial services, preferably an investment firm;
  • Good knowledge of insurance mediation would also be valued;
  • Strong communications skills and attention to detail;
  • Ability to work under pressure and meet tight deadlines in a demanding and highly regulated environment;
  • Ability to maintain clear lines of communication with various internal and external stakeholders; and
  • Ability to identify areas to improve efficiency, accuracy and analysis and suggest ways of improvement

This Senior Compliance Consultant will report directly to Chief Risk & Compliance Officer and will be an important role in ensuring that the function delivers its annual compliance plan with specific emphasis on regulatory implementation, technical compliance matters and compliance monitoring exercises.

 

For a private and confidential conversation and for a full job description

please contact Ciaran on 01-8746770. Or email coconnell@paragonexecutive.com