Head of Compliance - Investment Advisory

Our client, a PE backed MiFID investment advisory firm, is seeking a business focused Head of Compliance/MLRO (PCF-52 and PCF-12) to join their team in Dublin. The individual will work closely with the board members and chair of the board.  The firm is going through a period of growth and transformation with M&A activity, so this individual will be a key member in helping develop , implement and drive a robust compliance framework and compliance culture in  the group.

The Job

• Drive the implementation of their comprehensive compliance monitoring framework to include Anti-Money Laundering and Counter Financing of Terrorism Policy and a Financial Sanctions Policy.
• Develop, monitor and enhance existing controls for the management of all risks to assess fit for purpose and best practice.
• Oversee and sign off on the approval of all new client accounts to ensure adequate AML/KYC has been performed and client risk assessment is appropriate.
• Ensure the appropriate frameworks are in place to identify, manage and report on compliance risks.
• Updating of the firms ICAAP reporting requirements 
• Reporting to the board quarterly on risk related matters
• Timely preparation and distribution of board materials

The Candidate 

• Experienced compliance/risk professional with a background in a MiFID investment firm
• Compliance Institute qualification preferred
• Demonstrate ability to do a hands on and strategic role
• Ability to effective manage and work closely with senior stakeholders in the business
• Experience in dealing with and pro-actively responding to ad hoc queries and thematic reviews from the Central Bank of Ireland
• Agile and growth focused