Join to apply for the
Head of Compliance & MLRO
role at
Cpl
5 days ago Be among the first 25 applicants
Join to apply for the
Head of Compliance & MLRO
role at
Cpl
About The Role
We are seeking an experienced compliance leader to head our Compliance Function, acting as the second line of defense and ensuring adherence to all regulatory requirements.
This role will oversee market abuse surveillance, anti-money laundering (AML), counter-terrorist financing (CTF), sanctions, KYC, onboarding, and engagement with regulators.
About The Role
We are seeking an experienced compliance leader to head our Compliance Function, acting as the second line of defense and ensuring adherence to all regulatory requirements.
This role will oversee market abuse surveillance, anti-money laundering (AML), counter-terrorist financing (CTF), sanctions, KYC, onboarding, and engagement with regulators.
Key Responsibilities
Lead and manage the Compliance Function to ensure full regulatory compliance.
Oversee market abuse surveillance and AML/CTF/sanctions processes.
Manage KYC and client onboarding activities.
Assess and determine when to file Suspicious Transaction Reports.
Oversee communication and engagement with relevant regulators.
Ensure the organisation meets all regulatory obligations in applicable jurisdictions.
Provide accurate compliance advice to business units and respond to ad hoc queries.
Contribute to projects, new products, and proposals, with consideration of reputational risks.
Deliver training on regulatory risks and changes.
Execute a risk-based compliance monitoring programme including risk assessments, business reviews, thematic reviews, and testing.
Maintain surveillance, logging, escalation, and resolution of relevant issues.
Execute core compliance processes such as market conduct, gifts and entertainment, regulatory liaison, reporting, licensing, employee trading, conflicts of interest, and breach logs.
Draft and maintain compliance frameworks, policies, plans, and procedures (e.g., AML/CTF & Sanctions Policy, Market Abuse Policy, Whistleblowing Policy, Complaints Handling Policy, etc.).
Keep abreast of market trends, regulatory changes, and technological developments.
Produce management reports for internal committees and the Board.
Mentor and develop junior compliance officers.
Requirements
10+ years' experience in compliance within a MiFID investment firm, ideally holding PCF-12 & 52 roles, with a focus on equities/CFDs.
Experience with systematic internalisers, MTFs, exchanges, or algorithmic trading tools (RTS 6) in a highly regulated environment.
Strong interest in financial markets and solid knowledge of the brokerage industry, especially retail flow.
Comprehensive understanding of market practices and regulatory requirements, including IFR/IFD.
Minimum 2:1 degree in Business, Law, Economics, or related field.
Excellent written and verbal communication skills.
Ability to work under pressure with adaptability and a results-driven mindset.
High attention to detail, accuracy, and proactive problem-solving skills.
Strong leadership and mentoring abilities.
What's On Offer
Opportunities to make a significant impact and shape innovative services.
A dynamic, collaborative, and high-performing environment.
Autonomy to lead your function and manage your team.
Competitive remuneration and benefits package, including health, life, and disability insurance, pension, 26 days' holiday, and annual bonuses.
If you are interested and have the relevant experience, apply by sending CVs to (email protected)
Seniority level
Seniority level
Director
Employment type
Employment type
Full-time
Job function
Job function
Legal
Industries
Staffing and Recruiting
Referrals increase your chances of interviewing at Cpl by 2x
Get notified about new Head of Compliance jobs in
Dublin, County Dublin, Ireland
.
Head of Compliance, Quality, Assurance and Sustainability
Dublin, County Dublin, Ireland 3 weeks ago
Dublin, County Dublin, Ireland 1 month ago
Director of Financial Crime & Compliance
Dublin, County Dublin, Ireland 1 week ago
Head of Risk and Compliance - New Entrant
Dublin, County Dublin, Ireland 2 days ago
Dublin, County Dublin, Ireland €130,000.00-€160,000.00 3 weeks ago
Dublin, County Dublin, Ireland 2 weeks ago
Dublin, County Dublin, Ireland €150,000.00-€180,000.00 2 weeks ago
Head, Global Content Development and Delivery
Dublin, County Dublin, Ireland 1 week ago
Head of Legal and Compliance - Exclusive Assignment
Dublin, County Dublin, Ireland 3 weeks ago
Head of Anti-Money Laundering and Counter-Terrorist Financing (PCF 52)
Dublin, County Dublin, Ireland 2 weeks ago
Dublin, County Dublin, Ireland 2 weeks ago
Dublin, County Dublin, Ireland 4 days ago
County Dublin, Ireland €76,152.00-€96,305.00 2 weeks ago
Dublin, County Dublin, Ireland 2 weeks ago
Dublin, County Dublin, Ireland 1 week ago
Dublin, County Dublin, Ireland 2 weeks ago
Dublin, County Dublin, Ireland 2 weeks ago
Senior Managing Counsel – Head of Legal Ireland
Dublin, County Dublin, Ireland 2 months ago
Dublin, County Dublin, Ireland 2 weeks ago
Dublin, County Dublin, Ireland 1 month ago
Dublin, County Dublin, Ireland 6 days ago
Dublin, County Dublin, Ireland 1 week ago
Dublin, County Dublin, Ireland 1 week ago
Head of Financial and Regulatory Reporting
Dublin, County Dublin, Ireland 3 weeks ago
Dublin, County Dublin, Ireland 2 days ago
Head of Financial and Regulatory Reporting
Dublin, County Dublin, Ireland 1 week ago
Dublin, County Dublin, Ireland €60,000.00-€65,000.00 3 weeks ago
Head of Tax - Strategic Leadership Opportunity
Dublin, County Dublin, Ireland 4 days ago
Dublin, County Dublin, Ireland 2 weeks ago
Dublin 2, County Dublin, Ireland 1 day ago
Dublin, County Dublin, Ireland 11 hours ago
Dublin, County Dublin, Ireland 6 days ago
We're unlocking community knowledge in a new way.
Experts add insights directly into each article, started with the help of AI.
#J-18808-Ljbffr