Head of Compliance and MLRO (PCF12 & 52) Head of Compliance and MLRO (PCF12 & 52) 2 days ago Be among the first 25 applicants
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Co-Founder and Non-Executive Director at Phoenix | Qualified Solicitor | In House Legal, HR and Compliance | Search Expert | |… *** EXCLUSIVE TO PHOENIX - PCF 12 & 52 *** Our Client: An established, market-disrupting global Fintech organisation scaling its first Irish operation.
The Opportunity: Lead the Compliance function for a Fintech provider who is a true leader in its space.
A key member of the senior management team Career development as part of the organisation's ongoing phenomenal growth story Competitive package Dublin City offices - Hybrid model Key Duties & Responsibilities: Own, lead and manage the Compliance and MLRO functions in line with all relevant compliance and regulatory requirements ( PCF12 and PCF52).
Lead and oversee the execution of an appropriate compliance and monitoring programme, to include a holistic business review and risk assessment and identification and escalation of any issues as appropriate.
Execute and implement relevant compliance processes, plans, and policies to include, but not limited to, Market Abuse, AML/CTF, Anti-Business & Corruption, Order Execution, Conduct Risk, Complaints Handling, Anti-Fraud, F&P, SEAR/IAF, Conflicts of Interest, Whistleblowing, and Breaches log.
Stay abreast of relevant regulatory development, market trends, and technological advancements to maintain compliance and enhance competitiveness.
Act as the main Compliance point of contact and provide expert advice and assistance for relevant projects, new products and business proposals.
Provide relevant compliance/MLRO advice to all business units as appropriate.
Oversee all AML/CTF requirements and sanctions including KYC and onboarding activities, and deciding and as appropriate actioning STR filings with the Central Bank.
Prepare and present detailed management reports to the Board and internal committees.
Oversee engagement with the Central Bank and other relevant supervisory authorities.
Provide relevant training to staff as appropriate.
Mentor and guide junior compliance staff.
Promote a compliance culture throughout the organization.
Key Skills & Responsibilities: 9+ years' experience in a compliance role.
Minimum 2:1 degree in a relevant field.
Prior experience holding a PCF-12 & 52 function within a MiFID Investment firm - with a focus on equities / CFD's - is highly advantageous.
Experience of multi-lateral trading facilities, exchanges, and algorithmic trading tools prevalent in a regulated environment.
Proven interest in the retail brokerage industry.
Extensive, up-to-date knowledge of relevant market practices and regulatory requirements, including IFR/IFD.
Excellent written and verbal communication skills.
A proven ability to explain complex regulatory concepts clearly and effectively.
Proven ability to work under pressure and deliver in a deadline-driven environment.
Detail-oriented, proactive, solutions-focused, and adaptable.
Proven leadership and mentoring skills.
Seniority level Seniority level Not Applicable Employment type Employment type Full-time Job function Job function Project Management and General Business Industries Financial Services, Business Consulting and Services, and Securities and Commodity Exchanges Referrals increase your chances of interviewing at Phoenix - Your Professional Search Partner by 2x
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