Joint Managing Partner
Funds & Investment Management | Executive
Chief Compliance & Risk Officer - MiFID firm (Flexible hours) South Dublin
Job ref: 48812
LocationDublin City Centre
SectorExecutive, Funds & Investment Management
Job typePermanent
SalarySee description below
The Panel has been retained exclusively to source a Chief Compliance & Risk Officer to join an independent wealth management business with a MiFID licence (low prism rating). Reporting to the CFO and Chair of the board, this individual will manage compliance and risk for the firm and be PCF-12 and PCF 14 approved by the CBI.
The Job
The Candidate
The Job
- Develop and maintain appropriate risk and compliance frameworks
- Design the Firm’s risk and compliance monitoring plan and risk and compliance policies, procedures and controls
- Oversight of the CIO’s alignment of each client’s risk and return objectives and the corresponding portfolio investment policy
- Coordinate the risk evaluation process in order to ensure consistency across the risk management approach of the Firm
- Verifying all the investment strategies compliance with the approved investment policies
- Transaction Reporting
- Trade surveillance activities in line with the Market Abuse Regulation
- Acting as Money Laundering Reporting Officer; and
- Advising the CEO and Board of Directors on any risk or compliance matter.
The Candidate
An experienced governance professional, ideally holding the PCF 12 & PCF14 designations from the CBI. While MiFID knowledge would be ideal, my client is open to someone with ManCo and/or AIFM experience. Strong CBI and regulatory reporting is essential. As this is a small office, personality fit is key for the firm as well as someone who is happy to be hands-on and strategic.