Compliance officer is required for financial services company based in Co. Louth Responsible for overseeing the corporate Compliance Program, functioning as an independent and objective body that reviews and evaluates compliance issues/concerns within the organisation. Some Duties to include:
• Develops initiates, maintains, and revises policies and procedures for the general operation of the Compliance Program and its related activities to prevent illegal, unethical, or improper conduct. Manages day-to-day operation of the Program
• Collaborates with other departments (e.g., Risk Management, Operations, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution. Consults with the Corporate attorney as needed to resolve difficult legal compliance issues.
• Responds to alleged violations of rules, regulations, policies, procedures, and standards of conduct by evaluating or recommending the initiation of investigative procedures. Develops and oversees a system for uniform handling of such violations.
• Acts as an independent review and evaluation entity to ensure that compliance issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
• Identifies potential areas of compliance vulnerability and risk; develops/implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future.
• Works with other departments within the firm as appropriate to develop an effective compliance training program, including appropriate introductory training for new employees as well as ongoing training for all employees and managers.evelops and periodically reviews and updates standards of conduct to ensure continuing currency and relevance in providing guidance to management and employees. Requirements:
• 5 Years experience
• Knowledge of alternative investments and compliance issues facing same
• Familiarity in dealing with the NFA, CFTC, IFSRA and AMF
• Salary range 65-90k (depending on exp)
• French speaking (conversational French would be sufficient) Contact :Edel Murray on 01 2568732 or email your CV now Hudson is a leading provider of permanent recruitment, contract professionals and talent management solutions worldwide. Please note you will receive an automated response advising you that we have received your CV. |
