About the Role
We are seeking an experienced and strategic Head of Compliance & MLRO to lead our compliance function. This senior role will oversee regulatory adherence, risk management, and compliance operations across the firm, ensuring we meet obligations in all jurisdictions in which we operate. You will provide oversight to key compliance areas, mentor a growing team, and play a pivotal role in shaping the firm’s governance and risk culture.
Key Responsibilities
* Lead and manage the Compliance Function as the second line of defense, ensuring regulatory compliance
* Oversee market abuse surveillance, AML, Counter-Terrorist Financing, sanctions, KYC, and onboarding processes
* Determine when to file Suspicious Transaction Reports and manage regulatory engagement
* Ensure the firm meets all obligations across Ireland and other operational territories
* Provide compliance advice to business lines and contribute to projects, new products, and business proposals
* Train staff on regulatory risks and changes
* Oversee risk-based compliance monitoring, including risk assessments, business reviews, thematic reviews, and testing
* Execute core compliance processes: market conduct, gifts & entertainment, reporting, licensing, conflicts of interest, employee trading, breach management
* Draft and maintain compliance frameworks, policies, procedures, and registers, including:
o Compliance Framework, Fitness & Probity, SEAR / IAF
o AML, CTF & Sanctions Policy
o Anti-Fraud, Anti-Bribery & Corruption Policies
o Market Abuse, Conflicts of Interest, Conduct Risk, Inducements, Whistleblowing Policies
o Complaints Handling, Personal Account Trading, Transaction Reporting procedures
* Produce management reports for internal committees and the Board
* Mentor and develop junior compliance officers to foster a high-performing team
Candidate Requirements
* 10+ years’ experience in compliance, ideally holding PCF-12 & 52 roles within a MiFID investment firm
* Experience with equities, CFDs, systematic internalisers, MTFs, exchanges, or algorithmic trading tools in regulated environments
* Strong knowledge of market practices and regulatory requirements (IFR/IFD, MiFID II, etc.)
* Demonstrable interest in financial markets and the brokerage/investment industry
* Minimum 2:1 degree in Business, Law, Economics, or related field
* Excellent written and verbal communication skills, with the ability to explain complex concepts clearly
* Strong leadership, mentorship, and team development skills
* High attention to detail, proactive problem-solving, and ability to work under pressure
What We Offer
* High-impact role with autonomy to shape and lead your function
* Opportunity to make a significant contribution to a fast-growing financial services firm
* Collaborative, high-performing, and innovative work environment
* Competitive remuneration package, including health, life, and disability insurance, pension, 26 days annual leave, and performance-related bonuses
* Opportunities for professional growth and development
Send us an email or give us a call to discuss your recruitment needs #J-18808-Ljbffr