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LEAD COMPLIANCE OFFICER

 

Company:

MORGAN MCKINLEY

Job Reference Number

14574271

Client ID:

RI/SO-4747261218

Posted On:

Feb 29 2012

Location:

DUBLIN, DUBLIN

Job Type:

Contract

Salary:

EUR1 /A + COMPETITVE

Job title

Lead Compliance Officer

Job Purpose

Our Client is looking for a Lead Compliance Officer, ideally with Qualification in Compliance and proven experience in financial services

Key Responsibilities
  • Develop and maintain a comprehensive Compliance programme
  • Certify that polices and procedures in place comply with regulations and internal policy requirements
  • Provide advice on regulations polices and codes of conduct
  • Identify compliance risk with aim to correct and mitigate future occurrences
  • Conduct Compliance audits
  • Act as Compliance mentor and key contact for queries
  • Respond to complaints from the Financial Services Ombudsman/ Regulator
  • Conduct release of Compliance communications and online compliance training to the business
  • Represent Compliance on projects and provide specialist input to ensure new initiatives & processes are compliant.
  • Monitor progress with compliance tools such as Session D & CEO Cert


Key requirements and experience
  • Qualification in Compliance preferable
  • Proven experience in financial services
  • Strong understanding of compliance issues in a financial services environment
  • Excellent communication, strong training / drafting and presenting skills
  • Knowledge and understanding of relevant legislation, regulations, policies & codes


For more information about these roles, please contact Sarah Owen on 01 4321 555 or email your cv in confidence to [email protected]