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Compliance Assistant Manager

o Financial Services

s 50,000 - 60,000

q Dublin 2

p Permanent

r 1745

Our client, an alternative investment, corporate and private client administrator, is seeking a Compliance Assistant Manager. A new position to assist the Head of Group Compliance in the day to day management of the Compliance function.  Providing technical support to the business in connection with all services provided by our client ensuring they comply with the local legislation.

Responsibilities

  • To provide guidance and assistance to staff in the location by applying the company’s Risk and Compliance Framework
  • In conjunction with the Managing Director maintain the local Business Risk Assessment
  • Maintain the Risk and Compliance registers as required by the company or local legislation
  • Monitor the local Regulator and other Competent Authorities to identify potential changes to legislation or other regulatory requirements and escalate these to the MD and Head of Group Compliance
  • Assist the MD and Head of Group Compliance to liaise with the Regulator and ensure that all interacts are properly documented and retained
  • In conjunction with the MD and Head of Group Compliance maintain the local Regulatory Mapping Gap Analyses and highlight any future issues
  • In conjunction with the MD and Head of Group Compliance maintain the Compliance Monitoring Plan
  • Sign off the adequacy of CDD accompanying new business documentation to include the maintenance of Compliance records
  • Process Sanctions Notices as required
  • Undertake the tasks programmed in the Compliance Monitoring Plan in a timely manner
  • Collate information and assist with the preparation of reports to provide key information to both the board and Group Risk and Compliance on a monthly basis
  • Undertake relevant ad hoc project work as required.
  • Assist in the training of staff where required including Induction training
  • Carry out any relevant function/activity required by the Head of Group Compliance from time to time

Requirements

  • A relevant Compliance qualification is advantageous (i.e. ICA Diploma or ICSA Diploma) however not essential
  • The ability to supervise and assist with the development of a team of employees
  • Good interpersonal skills are required to develop close working relationships with colleagues and third parties
  • The ability to manage time effectively and to prioritise and organise workflow
  • Methodical and accurate approach with an eye for detail
  • Working as part of a team
  • Self-motivated and proactive

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