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Chief Compliance Officer - Fund Services

Dublin

Permanent

348

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.

Responsibilities:

  • 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.

Key Areas:

  • compliance management reporting, compliance monitoring, regulatory compliance, AML/KYC compliance and performance management. Promote the adoption of a compliance culture within the organisation.

Reports to:

  • Deputy CEO/CRO; Board, Compliance and Risk Committee, Audit Committee.

Direct reports:

  • 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.

Training:

  • 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.

Regulatory interface:

  • 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.

Compliance expertise:

  • 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.

Regulatory expertise:

  • Irish Regulation experience essential.
  • Subject to CBI & International approval.

Qualifications:

  • University degree or professional qualification.
  • ACOI qualification preferable.

Personal Characteristics:

  • Strong people management and personal relationship skills.
  • Ability to communicate clearly and concisely.
  • Strategic thinker.
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