Urgent - Senior Compliance Professional

  • Excellent
  • Dublin, Leinster, Ireland
  • Permanent, Part time
  • Paragon Executive
  • 26 Sep 16

Our client has an Urgent requirement for a Senior Compliance Professional to join a wider group compliance function but to lead, develop and manage the establishment of a new compliance matrix including the formation of a UK branch office and the role out of MiFID II.

The Role:

  • Develop lead and manage the establishment of a new compliance matrix
  • Conduct compliance monitoring, as outlined in the Compliance Plan
  • Monitor applicable regulations; MAD and MiFID regulations
  • Work closely with the Compliance group on the MiFID II project
  • Assist in the performance of thematic reviews and reports on market activity
  • Assist the daily monitoring activities of the business
  • Execute trades on behalf of members of staff as well as monitoring daily trade staff trading activity for compliance with the firm’s staff dealing rules
  • Support and assist other team personnel on particular compliance initiatives/projects
  • Liaise with regulators and external auditors to address enquiries and engage with them as required
  • Review general queries and provide advice to the business in respect of compliance matters and maintain strong communications with staff across different departments of the company

The person:

  • 5+ years working in a compliance/legal/funds team in an investment business firm
  • Third Level Degree in Business, Finance, Law or equivalent (minimum 2.1)
  • Preference given to LCOI designation
  • Significant practical knowledge of MiFID, FCA’s COBS, AIFMD and UCITS Regulations and industry best practice
  • Excellent communication skills as well as good listening and problem solving skills
  • Attention to detail is important, Self-motivated and an ability to work to tight deadlines
  • Motivated to learn the business from “the ground up” and willing to invest the time required to do so.

This Compliance professional role provides an opportunity to develop expertise in the functioning of the markets, including trading strategies. The role involves working directly on assisting the implementation of new compliance requirements ensuring the firm is fully compliant in areas including MiFID II and the new Market Abuse Directive (MAD).

For a private and confidential conversation and for a full job description please contact  Ciarán O Connell on 01-8746770. Or email: coconnell@paragonexecutive.com