Our client is a growing, forward-thinking financial services firm specializing in Wealth Management, Pensions, and Investments. Known for a culture of professionalism and a "client-first" philosophy, they are currently seeking an experienced Compliance Manager for their Kerry office to oversee and enhance their regulatory framework during a period of organizational growth.
Key Responsibilities
As the primary lead for compliance, you will provide independent oversight and assurance across all regulated activities.
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Framework & Governance: Maintain and evolve the firm's compliance framework to stay ahead of Irish and EU regulatory changes.
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Monitoring & Auditing: Conduct regular reviews of client files across various branches to ensure advice and documentation meet Central Bank Codes of Conduct.
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AML & CFT: Serve as the designated point of contact for AML/CFT matters, managing due diligence, KYC compliance, and delivering staff fraud awareness training.
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Regulatory Oversight: Manage Fitness & Probity and Minimum Competency Code (MCC) requirements for all staff members.
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Advisory & Conduct: Act as the subject matter expert for compliance queries and oversee the complaints handling process to ensure swift, compliant resolutions.
The Ideal Candidate
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Experience: A minimum of 2-3 years in the Financial Services sector, specifically within a senior compliance or management capacity.
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Qualifications: Must hold (or be pursuing) a recognized compliance or regulatory qualification.
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Technical Knowledge: Deep understanding of AML/CFT, Fitness & Probity, and Central Bank Codes of Conduct.
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Communication: Ability to translate complex regulations into practical advice for senior stakeholders and diverse teams.
