Job Details
This job is not active on our system any more, please contact the poster to see if it is still available!
|
|
 Email Job |
| Job Title: |
Senior Compliance Manager - Asset Servicing |
| Location: |
Dublin |
| Position Type: |
Full Time |
| Ref: |
LC2151C |
| Remuneration: |
85-95K |
|
| Description: |
Joe Purpose:
This Senior role involves managing the Compliance agenda in respect of Trustee and Custody operations from anIrelandperspective. It involves support of the client to remain compliant with regulatory and corporate compliance policies.
This is achieved primarily through the following:
Advisory Service – Acting as a primary regulatory advisor through the provision of advice and guidance to the business area in respect of issues arising.
Regulatory Requirements – Identify and manage the regulatory requirements on a risk basis.
Compliance Plan - Prepare Monitoring Plan on an annual basis for relevant business line and entities.
Compliance Monitoring programme - Schedule, conduct and oversee as appropriate, monitoring on specified areas of the business, on the basis of the plan and issues arising, in order to monitor the client’s compliance with procedures, regulatory and statutory obligations.
Regulatory Issues - Dealing with Regulatory Correspondence both to and from regulatory authorities, principally the Central Bank, as part of regular reporting requirements, and on issues arising.
Technical Compliance Service - Interpretation and provision of guidance to senior management and operational areas in relation to regulations.
Record Management - Maintenance of regulatory database and associated monitoring activities.
Project work – Involvement with the business on projects which have a regulatory/compliance aspect.
Relationship Management – Management liaison on new business take-on, new service offerings, and potential compliance or regulatory matters.
Reporting – Provision of reports to management on a regular basis and as required.
Training – Development of and provision of training to the business on Compliance related matters, to cover both Group and local regulatory requirements, as required.
Deputising for the Head of Ireland Compliance where required to do so.
The role may require input across other internal operations where business is outsourced. Therefore, the jobholder should be prepared to travel.
Responsibilities:
The job holder will have responsibility for the following key areas:
•Provide accurate and timely technical advice to business/business partner colleagues on regulatory compliance issues.
•Proactively represent Compliance in all business change activity within the above business line to ensure that any changes to operating models are fully assessed from a regulatory perspective. In this regard, the job holder must ensure that the relevant legal entity meets regulatory expectations and any regulatory concerns are fully identified and mitigated.
•Co-ordinating regulatory issues across the business line ensuring that all relevant regulatory material are regularly reviewed, analysed for their impact and duly communicated appropriately. All such data will also be tracked and maintained on a database.
•Lead on projects across the business line where regulatory change requires focused attention from the business to ensure that all regulatory change is fully understood, and that operational procedures and controls are compliant.
•To present significant matters concerning regulatory risk to the relevant Board and Committees within the client as well as presenting to clients as and when required.
•Attend internal senior management committees to provide input and commentary for regulatory issues / challenges faced by the business.
•Represent Compliance at all incident meetings to ensure that all regulatory implications are fully considered and understood by the relevant entities. This will include assessing / determining issues and breaches, assessing reportable events from a regulatory and Group perspective, and working with the business to ensure that remedial action takes place.
•Represent Compliance at meetings with external clients in relation to issues arising, new business, or regulatory change, as required.
•Drive the compliance monitoring agenda in relation to the business line, and ensure that all compliance
•Monitoring is completed in accordance with the annual monitoring programme on time and to a high standard.
•Ensure that all findings are accurately recorded on the Compliance Monitoring system and that proactive actions are taken to ensure satisfactory resolution of issues raised
|
|
| Desirable Skills: |
Technical skills and knowledge:
•Knowledge of the local regulatory environment, and some knowledge of the European regulatory framework.
•Good PC skills
•Strong communication skills, both verbal and written, and ability to deal effectively with senior management.
•Sound analytical skills – the ability to analyse large amounts of complex information, identify and present the key issues in a persuasive way, and develop strategies to resolve.
•Problem solving – the ability to build a logical approach to resolve problems or manage a situation, by drawing on own knowledge and experience, and calling on appropriate references and resources as necessary.
•Work Quality – the ability to demonstrate attention to detail to achieve quality output and results.
•Teamwork is a key aspect of this role, as the Compliance Department works closely together, and needs to communicate effectively.
•Focused attitude to work with the ability to constantly meet deadlines while ensuring attention to detail, and high levels of accuracy.
•Ability to make robust decisions in a fast moving environment.
•Ability to work on a number of projects to strict deadlines.
|
| Experience: |
Experience :
A minimum of 5 - 10 years senior experience within a Compliance framework of a Financial Institution.
A preference for experience within the Funds industry.
Solid knowledge of regulations, and regulatory requirements.
Strong knowledge of trustee and/or custody is a distinct advantage.
Audit or Internal Control experience also an advantage
Qualifications and Training:
Degree educated, or a strong academic record with particular preference for Business, Legal, Accountancy, or Compliance background.
A compliance qualification would be a distinct advantage.
|
| Required Education: |
3rd Level |
Job Classification |
| Categories: |
Funds
Accountancy -> Financial Services
|
Contact Details |
| Posting Company: |
Quest Recruitment |
| Contact Name: |
Larry McCowen |
| Apply For This Job: |
Click Here |
| Company Profile: |
For further details please contact Larry immediately on 01 6760505 or apply below
Voted Best in Practice Accountancy & Finance for a second consecutive year (2012 & 2013), Quest is a team of experienced and professional Financial Recruiters solely dedicated to recruiting for Accountancy and Financial Services Professionals.
Through its reputation, in-depth sector knowledge and impeccable standards of conduct and confidentiality, Quest has developed professional relationships with World Leaders in Financial Services and Accountancy throughoutIreland,Luxembourg, Bermuda and theCayman Islands. Quest’s experienced Team offers a personalized service and listens closely to what you want - your career goals and motivations.
|
|
| |
|
