Compliance Officer

Competitive
Permanent
Dublin South
23 Sep 2019
BBBH742378

Compliance Officer | Dublin Centre

A brand new Compliance Officer role has just come through with a leading financial services company based near to Dublin City Centre.

This specialist pensions and investments company are well-known for their strong presence in the market making them an attractive and reputable employer.

The Compliance Officer will report directly to the Head of Compliance obtaining a huge amount of exposure and experience at a senior management level. This company are passionate about helping individuals to progress their careers on both a personal and professional level.

RESPONSIBILITIES:

  • Monitoring transactions on a regular basis for KYC and ensuring adherence to CPC and MiFID regulations
  • Advise on compliance monitoring issues and attend meetings with advisors as required
  • Ensure the firm is compliance with all AML regulations and legislations
  • Continuously monitoring of PEP's and Client asset requirements
  • Maintain up to date register of all Accredited individuals, PCF and/or Pre-Approved Control Functions
  • Ensure professional development log is up to date at all times
  • Regular review and testing of internal policies and procedures
  • Carry out monitoring of data protection policies
  • Provide sign-off for marketing material and any external documentation
  • Assistance with the compliance monitoring plan and reports provided to the board
  • Introduce and implement new compliance regulations and legislations across the firm
  • Compliance representative at Team Leader meetings and other committees depending on experience
  • Monitoring complaints and ensuring follow-up is compliant at all times

REQUIREMENTS:

  • Minimum 2 years' experience in a compliance monitoring role within financial services
  • LCOI - must be in the process of completing exams and/or willing to complete
  • Third level education advantageous
  • QFA/APA qualification would be a benefit
  • Ability to multitask and prioritise workload as required

Morgan McKinley is acting as an Employment Agency in relation to this vacancy.

Please note that any references to salary or pay rates in this advertisement and in the salary refinement section are indicative only and should only be used as a guide.

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