Chief Compliance Officer - Fund Services
Manage the Compliance Function Globally.
Assure the Board, Senior Management and Regulators that the organisation is:
- Operating within the legal and regulatory framework applicable in each jurisdiction.
- Aware of its obligations and complies with them through effective policies and procedures.
Lead all areas of Compliance for:
- The Group Compliance Monitoring Plan, structure and processes.
- Establishing standards and implementing procedures that are effective and efficient in identifying, preventing, detecting and correcting non-compliance with rules and regulations.
- Global Money Laundering Reporting Officer: in charge of addressing AML/ATF issues.
- Ensure required reporting to regulators.
- Compliance reporting to Group.
- Develop and maintain relevant policies and procedures and the Compliance Monitoring Plan.
Compliance advisor to:
- The Deputy CEO/CRO and the Executive Management Team, providing guidance in developing plans for global initiatives.
- Senior Management: guidance surrounding compliance / regulatory requirements; interpretation of laws, regulations and how these may impact the business.
- compliance management reporting, compliance monitoring, regulatory compliance, AML/KYC compliance and performance management. Promote the adoption of a compliance culture within the organisation.
- Deputy CEO/CRO; Board, Compliance and Risk Committee, Audit Committee.
- Head(s) of Compliance Dublin and International; Head of Client Due Diligence Dublin.
- AML Manager Dublin; Supervisor International and Data Protection Officer.
- 20 Compliance staff including the above across AML; Cross Functional; Regulatory.
- 4 Function Heads. Local MLROs, where applicable, are included in this number, and they will report to the CCO and their local boards.
Oversee Projects and initiatives in the compliance domain:
- e.g. GDPR; adopting Group AML procedures; applying for a ManCo Licence; reduction of licenses through the alignment of entities; The Fitness and Probity Regime; Drive continuous improvement of the company's control environment.
- Arrange mandatory AML/CTF and other compliance training for employees.
- Ensure the business understands related laws and regulatory requirements.
- Analyse new and emerging international regulations: Report on the requirements and how they may affect the business. Implement processes to fulfil these new and emerging requirements.
Compliance incident reporting:
- To the Deputy CEO/CRO of any incidents, especially those with possible financial and reputational risk and employee related issues within the Compliance function.
- Be the contact point for regulators and other authorities where appropriate.
Overview of the Individual:
- Accomplished Senior Compliance Professional.
- Current CCO or on the cusp of becoming one.
- Ten years plus of relevant experience with demonstrable deep knowledge of Compliance and Regulatory principles.
- Strong Fund Services and Irish Regulatory experience.
- Broad scope and depth of Compliance and Regulatory knowledge.
- Be the compliance subject-matter expert.
- Ability to breakdown complicated compliance and regulatory issues into practical actions to help businesses overcome and head-off issues.
Proven track record of:
- Leading people so that they are inspired by the core compliance purpose; working together to enhance this across the organisation.
- Managing and coordinating multiple overlapping compliance projects that often cover several jurisdictions, functions and business units.
- Irish Regulation experience essential.
- Subject to CBI & International approval.
- University degree or professional qualification.
- ACOI qualification preferable.
- Strong people management and personal relationship skills.
- Ability to communicate clearly and concisely.
- Strategic thinker.