"Start up - Senior Compliance with Risk Manager **

  • Excellent
  • Dublin, Leinster, Ireland
  • Permanent, Full time
  • Paragon Executive
  • 18 Feb 18 2018-02-18

An exciting opportunity for a leading compliance professional to join a global Investment management firm setting up an Irish office in Dublin, primary responsibility will be for setting up, overseeing, and managing the compliance & risk functions within the Irish regulated entity.

The Role;

  • To maintain and, where appropriate, develop or revise appropriate policies and procedures for the general operation of the Compliance Programme and the independent risk management function to prevent illegal, unethical, or improper conduct
  • To devise and maintain the annual compliance thematic and surveillance work plan
  • To review performance of the Compliance programme and, related activities on a ongoing basis
  • Provide guidance to senior management, business divisions and, employees on compliance related issues
  • Act as the point of contact and interface for the Irish regulator
  • Collaborate with other departments (e.g., Risk Management, Internal Audit, HR, etc.) to direct compliance issues to appropriate existing channels for investigation and resolution
  • Respond to alleged breaches of rules, regulations, policies, procedures, and standards of conduct and ethics by evaluating or recommending the initiation of investigative procedures
  • Act as an independent review and evaluation body to ensure that compliance Issues/concerns within the organization are being appropriately evaluated, investigated and resolved.
  • Monitor, and as necessary, coordinate compliance activities of other relevant departments to remain abreast of the status of all compliance activities and to identify trends
  • Identify potential areas of compliance vulnerability and risk; develop/implement corrective action plans for resolution of problematic issues, and provide general guidance on how to avoid or deal with similar situations in the future
  • Liaise with colleagues from global offices to ensure global policies comply with all applicable rules.
  • Assist with global compliance and risk management policies projects and day to day work as necessary.
  • Advocate industry best practice.  Establish and enhance company risk culture through training and public relations.
  • In conjunction with regional Risk Controls Oversight Committee, formulate and periodically review organisation’s risk management policies.

The Person:

  • 3rd level qualification or higher equivalent
  • Compliance Qualification (e.g. LCOI) completed
  • 6 + Years within a senior compliance/Risk role
  • Relevant experience in Compliance consulting, Management or company start-ups which should include significant exposure to financial institutions and or Broker-Dealer experience would be preferred.
  • Accomplished communication and interpersonal skills and a consultative approach to problem-solving.
  • A Keen business acumen and a self-starter with the ability to work independently.
  • Strong technical and analytics skills
  • Experience of dealing with the Central Bank of Ireland with strong communication and influencing skills
  • Strong ethical standards and an ability to influence decisions and forge effective professional relationships at all levels of the business

This role is a controlled function and will be working closely with the country GM to set up the Irish regulated entity and will be required to deliver specific aspects of support in growing the Irish office.

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