Assignments

3 Month Contract Compliance Monitoring – Sell or Buy Side Experience Required – Ref: 3596J

Ref: 3596J

£600 per day                                                                                       City

Our Client, a leading securities trading firm, is looking to recruit a Compliance Monitoring expert to help implement a Compliance Monitoring programme. Reporting to the Chief Compliance Officer, duties will include:

• Assist in developing and implementing an effective compliance monitoring programme
• Conducting risk based monitoring reviews, both routine and thematic, to assess the extent the business complies with regulatory requirements and internal policies
• Ensure all findings discussed with the business
• Ad-hoc projects including systems development

The ideal candidate will have extensive compliance monitoring experience from a similar sell side organisation, though may consider buy side experience too. 

For a confidential no obligation discussion, please feel free to call David Symes FCA on 020 7330 6966 or send your details to him at David@compliancerecruitment.com  

The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge

ETHICS AND COMPLIANCE COUNSEL (12 MONTH FTC) – QUALIFIED LAWYER WITH COMPLIANCE &/OR ETHICS EXPERIENCE (ANY SECTOR) – Ref: 3566G2

Ref: 3566G2

£75K- £80K + Bens + 10% Bonus City

Our Client, a leading research & technology group is recruiting for a 12-month FTC in their Ethics and Compliance Department within Group Legal. You will be responsible for supporting the Assistant General Counsel in providing legal advice and assurance to the business in relation to various legal compliance and reputational risk management matters, with a particular focus on anti-bribery and corruption, competition, financial crime, modern slavery and conflicts of interest. Key Responsibilities include;

• Support the development, implementation and enforcement of the Group’s Ethics & Compliance programme from a U.K. and RoW perspective (excluding the U.S. and China).
• Provide high quality, practical and commercial advice/guidance regarding legal compliance risk areas and reputational risk management issues to a range of stakeholders within the global organisation (including regional management teams).
• Assist with development and implementation of policies, procedures and other internal guidance to ensure they reflect any updates to relevant local laws and are in alignment with the overall goals of the Ethics & Compliance programme.
• Obtain appropriate advice from external counsel where necessary including if foreign legal advice or deep subject matter expertise is required.
• Review activities and transactions to ensure that business is being conducted in an ethical and compliant manner and that policies and procedures are followed to reduce the risks of non-compliance with laws, regulations and reputational risk.
• Help to ensure consistency of approach to legal compliance issues across Sectors.
• Support internal investigations into allegations of non-compliance with the Ethics & Compliance programme.
• Help to provide oversight and assurance of the Groups Ethics & Compliance programme, which includes periodic visits to sites globally (typically involving travel 10 % of time).

You should be a qualified lawyer in England & Wales, with experience advising in relation to legal compliance risk areas, ideally including knowledge of resolving ethical issues in a business context and/or Anti Bribery & Corruption. Start date asap (or by early March latest).

For a confidential no obligation discussion, please feel free to call Gary Collins on 020 7562 7400 or send your details to gary@symescollins.com

Symes Collins – Part of the Compliance Recruitment Solutions Group
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.

Compliance Consulting (Managers & S/Managers) – Consulting Experience Required (from Ireland, UK , Europe, North America, Australasia, Hong Kong or Singapore) – Ref: 3600D

Ref: 3600D
€60K-€110K + good bonus & generous bens inc relocation
Dublin

Our client, a global consultancy, are seeking to recruit Managers & Senior Managers to build up their financial services regulatory consulting team in their Dublin office. Duties will include;

• Advising on new authorisations
• Assisting in implementing new procedures and systems as required Advising on ongoing business requirements
• Carry out required monitoring work and Special Investigations
• Assist in regulatory reporting
• Internal & External Networking
• Ad hoc projects

You should be a graduate (or have equivalent professional qualifications) with at least five years previous experience of Compliance or Financial Crime from within Banking, Investment Management or Insurance, some of which must have been gained from another Consulting Firm (large or medium sized) whether in Ireland, the UK & offshore or another leading regulated financial centre (Europe, North America or APAC i.e. Australasia, Hong Kong or Singapore)

You must be used to dealing with a myriad of different clients & pressures and have good interpersonal skills and a flexible attitude. Excellent opportunity to join an industry leader at a time of strong growth in this attractive and interesting City with plenty of cultural activity & nightlife and a great quality of life (including short commuting times).

NB Full relocation packages including assistance with visa/work permit offered

For a confidential no obligation discussion, please feel free to call David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 or send your details to david@compliancerecruitment.ie

Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  

Compliance Consulting (Managers & Senior Managers) – Ref: 3601D

Ref: 3601D

€60K-€110K + good bonus & generous bens Dublin

Our client, a global consultancy, are seeking to recruit Managers & Senior Managers to build up their financial services regulatory consulting team in their Dublin office. Duties will include;
• Advising on new authorisations
• Assisting in implementing new procedures and systems as required
• Advising on ongoing business requirements
• Carry out required monitoring work and Special Investigations
• Assist in regulatory reporting
• Internal & External Networking
• Ad hoc projects

You should be a graduate (or have equivalent professional qualifications) with at least five years previous experience of Compliance or Financial Crime (i.e. AML policy & procedural drafting not just CDD/KYC) in Ireland from within Banking, Investment Management or Insurance. This may have been gained from an in-house position within a leading Financial Services organisation, another Consultancy/Law Firm or else the Regulator.

You must also have good interpersonal skills and a flexible attitude.

For a confidential no obligation discussion, please feel free to call David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 or send your details to david@compliancerecruitment.ie

Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.  

Assistant Director (Compliance) – Irish Fund Management, Investment Platform or Life Insurance experience required – Ref:3591G

Ref: 3591G                                                                                          Dublin

€ 90K – € 110K + Bonus & Benefits

Our client, a leading Global Asset Manager, is recruiting an Assistant Director to support the Head of Compliance in delivery and development of the annual compliance plan. In this interesting and varied role, duties will include;

• Delivery of the annual compliance monitoring programme
• Provide advice to the business on appropriateness and effectiveness of controls and the application of rules, regulations and the company’s compliance policies and procedures
• Assist with Central Bank of Ireland engagement
• Identify new and emerging legislation and ensure business awareness of requirements
• Approving and signing off all relevant marketing and customer documentation material distributed on behalf of the Funds and Life Company.
• Ensuring Regulatory submissions are made in a timely manner.
• Provision of support for business, operational and regulator change projects to be implemented in respect of the investment activities undertaken locally.

You should have Irish compliance experience, from within a Fund business, Life Insurance or investment platform industry, including some knowledge of some of the regulations (especially Life Directives and/or UCITS/AIF) and a good understanding of the Fund Management industry.

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact Gary Collins (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 for a confidential discussion about this position or send your details to gary@compliancerecruitment.ie

Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

3 Month Contract: Chief Compliance Officer & MLRO – Fund Management (Irish, Lux or UK) Experience Required – Ref: 3586D

Ref: 3586D                                                                                                        Dublin € 700 – € 1000 Per Day
Our Client, a leading Global Asset Manager, is looking for a Chief Compliance Officer for their Irish business based in Dublin with primary responsibility for the ongoing development and operation of the Irish regulatory function. Managing a small team and reporting to the European CCO, duties will include:

• Providing a professional proactive compliance service to the business and advising the senior management team on their existing and ongoing regulatory obligations
• Building on and maintaining an appropriate Compliance framework for the regulated activities undertaken by the Irish business.
• Designing and ensuring delivery of all compliance monitoring including delivery of a regular compliance audits for the funds administered in Dublin.
• Check that adequate policies, procedures and controls are in place to ensure that all parts of the business comply with relevant regulations.
• Approving and sign off all relevant marketing and customer documentation material distributed on behalf of the funds.
• Adopting the local MLRO role including ensuring proper delivery and oversight of AML / KYC procedures, training and new business acceptance
• Preparation of reports and/or presenting as required at the Board Meetings.
• Provision of support for business, operational and regulator change projects to be implemented in respect of the investment activities undertaken locally.

The successful candidate must have gained significant senior compliance experience within a similar funds business or the investment platform industry. You must of course have an in-depth knowledge of Fund Management and all relevant EU & Irish regulations including UCITS, AIFMD, AML, CP86 & MiFID II, although our client will consider experienced Compliance Officers from the UK or Luxembourg willing to pick up the Irish Regulations quickly. NB The role will be for at least 3 months (immediate start date) and may well last considerably longer. So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 for a confidential discussion about this position or send your details to david@compliancerecruitment.com

Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

Head of Anti Bribery & Corruption – Ref:3585G

Ref: 3585G

£120K – £140K + V Good Bens (inc Excellent Pension & Flexible Working)

City

Our Client, a leading FTSE 250 Group, is seeking a Head of Anti-Bribery & Corruption to further develop and lead the Group’s Programme to address the risks of bribery and corruption globally and serve as the subject matter expert for Anti-Bribery & Corruption. In this stand alone role, responsibilities will include
• Assess existing ABC and related policies and procedures for efficacy, compliance with legislation, good practice, and in relation to Group’s risk appetite.
• Develop the Group’s framework to mitigate anti-bribery & corruption risk, including the updating of policies, articulation of required controls by the Group businesses, procedures, guidance on topics (including but not limited to Third Party Intermediaries, gifts and hospitality, charitable donations,) and the identification, assessment and monitoring of anti-bribery and corruption risk.
• Be a point of escalation from an anti-bribery and corruption risk point of view in respect of due diligence carried out on third parties. Make judgments about whether any such risk may be acceptable in line with the Group risk appetite.
• Provide legal advice, and practical (including addressing reputational risk management) advice to the Sector Heads of Ethics & Compliance, legal teams, senior management, business and functions as applicable in relation to Anti-Bribery & Corruption and other ethics and compliance risk areas (including but not limited to trade compliance and sanctions, anti-money laundering and competition law).
• Monitor external developments in relation to significant Anti-Bribery and Corruption legislation, enforcement, and best practice, and update policies as appropriate.
• Review and update as required the training programme to promote both ABC awareness and understanding of the risks to the Group as appropriate, using a combination of the material available through the on-line training provider and face to face training to a range of stakeholders (including on a train the trainer basis) with different learning needs. Deliver training on an on-going basis as required.
• Contribute to the development of and implementation of other aspects of Group ethics and compliance programme as required.
• Act as a subject matter expert in relation to Anti-Bribery & Corruption investigations, and in that capacity support or lead such investigations You should have considerable experience of developing and implementing a global anti-bribery and corruption programme in an international environment with an in-depth understanding of anti-bribery and corruption risk and mitigation.

NB this experience may have been gained either in a similar in-house role or else a leading consultancy or law firm. For further information or a confidential no obligation discussion, please feel free to contact Gary Collins on 020 7562 7400 or send your details to gary@symescollins.com

Chief Compliance Officer & MLRO – Life Insurance – Ref: 3579D2

Ref: 3579D2 Dublin

€110K – €135K + bonus & benefits

Our Client, a leading Global Financial Services Group, is looking for a Chief Compliance Officer for their Irish Life business based in Dublin with primary responsibility for the ongoing development and operation of the Irish function. Managing a small team, duties will include:
• Providing a professional proactive compliance service to the business and advise the senior management team on their existing and ongoing regulatory obligations
• Building on and maintaining an appropriate Compliance framework for the regulated activities undertaken by the Irish business.
• Designing and ensuring delivery of all compliance monitoring including ensuring delivery of a regular compliance audits for the Irish Life business and its service providers.
• Checking that adequate policies, procedures and controls are in place to ensure that all parts of the Irish business complies with relevant regulations.
• Approving and sign off all relevant marketing and customer documentation material distributed on behalf of the Life Company.
• Adopting the local MLRO role – ensuring delivery and oversight of AML / KYC procedures, training and new business acceptance
• Provision of support for business, operational and regulator change projects to be implemented in respect of the investment activities undertaken locally.
• Acting as the primary point of contact for all queries from the Central Bank of Ireland and establish an ongoing strategy to build and maintain a good relationship with the regulator.

The successful candidate must have gained significant senior compliance experience within a similar Life Insurance company, a Regulator or a Consultancy. You must have an in-depth knowledge of Life Insurance and relevant EU & Irish regulations including Solvency II, Life Regulations, AML and MiFID II.

This is a very visible, influential and independent role and as such requires the incumbent to not only be technically strong but also requires strong communication and leadership skills with the ability to interact effectively at all levels with internal and external parties including, auditors and the regulators.

This is an excellent opportunity for an experienced and talented senior compliance executive to join a leading Financial Services Group in a position that will be technically challenging but also allow you the autonomy to develop the Compliance Function and in the long term move into other parts of the business whether in Dublin or elsewhere.

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 for a confidential discussion about this position or send your details to david@compliancerecruitment.ie


Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions

Chief Compliance Officer & MLRO – Fund Management (Irish, Lux or UK Experience Required) – Ref: 3578D2

Ref: 3578D2 Dublin

€135K – €165K + bonus & benefits

Our Client, a leading Global Asset Manager, is looking for a Chief Compliance Officer for their Irish business based in Dublin with primary responsibility for the ongoing development and operation of the Irish regulatory function. Managing a small team and reporting to the European CCO, duties will include:

• Providing a professional proactive compliance service to the business and advising the senior management team on their existing and ongoing regulatory obligations
• Building on and maintaining an appropriate Compliance framework for the regulated activities undertaken by the Irish business.
• Designing and ensuring delivery of all compliance monitoring including delivery of a regular compliance audits for the funds administered in Dublin.
• Check that adequate policies, procedures and controls are in place to ensure that all parts of the business comply with relevant regulations.
• Approving and sign off all relevant marketing and customer documentation material distributed on behalf of the funds.
• Adopting the local MLRO role including ensuring proper delivery and oversight of AML / KYC procedures, training and new business acceptance
• Preparation of reports and/or presenting as required at the Board Meetings.
• Provision of support for business, operational and regulator change projects to be implemented in respect of the investment activities undertaken locally.

The successful candidate must have gained significant senior compliance experience within a similar funds business or the investment platform industry. You must of course have an in-depth knowledge of Fund Management and all relevant EU & Irish regulations including UCITS, AIFMD, AML, CP86 & MiFID II, although our client will consider experienced Compliance Officers from the UK or Luxembourg willing to pick up the Irish Regulations quickly.

This is a very visible, influential and independent role and as such requires the incumbent to not only be technically strong but also requires strong communication and leadership skills with the ability to interact effectively at all levels with internal and external parties including, auditors and the regulators.

This is an excellent opportunity for an experienced and talented senior compliance executive to join one of the leading Global Asset Managers in a position that will be technically challenging but also allow you the autonomy to develop the Compliance Function.

So if you believe you have the breadth of technical knowledge and self-drive to take ownership of this role then please contact David Symes FCA (Managing Consultant, Compliance Recruitment Ireland) on +353 (1) 563 4310 for a confidential discussion about this position or send your details to david@compliancerecruitment.ie


Compliance Recruitment Ireland – a partnership between Compliance Ireland and Compliance Recruitment Solutions