Head of Compliance (PCF-12 & PCF-52)

  • €85,000
  • Dublin City Centre, Republic of Ireland

About Your New Employer:

My client is a boutique financial planning firm based in Dublin city.


About your new job:

They are currently recruiting for a Compliance Manager to join the team – someone who will touch on all parts of the Compliance lifecycle within their fast-paced firm, including;

  • Develop and lead the compliance agenda across the business.
  • Govern the compliance of client activities.
  • Collaborate with other departments to create a culture of Compliance.
  • Proactively identify situations that may pose significant compliance risks and guide management in the development/reviewing of applicable policies, procedures, and business practices.
  • Providing advice and training on anti-money laundering, sanctions and privacy matters and performs 2nd line review of client AML risk assessments.
  • Responsible for the delivery of the annual training plan.
  • Respond to the CBI and other Regulator queries as well as assist with regulatory inspections as and when they arise.
  • Ensure the Central Bank, ICCL, and FSO levies are paid when due
  • Ensure Professional Indemnity Insurance is in place for the required levels of cover.
  • Preparing reports for the regulator(s) and maintaining an open and positive working relationship with them
  • Ensure all employees are aware of and understand their compliance responsibilities.

Who you are

5+ years compliance experience and relevant compliance qualifications within the financial services industry, preferably within a Brokerage.

  • QFA Required
  • ACOI or equivalent professional and/or 3rd level qualification required
  • Excellent knowledge and experience of AML / Client due diligence / Onboarding of clients.
  • Excellent knowledge of compliance monitoring procedures and reporting.
  • Be able to provide detailed and analytical analyses of risks posed to the business.
  • Track record of building strong control-compliant environments.
  • Knowledge and experience of the Life, Pensions & Investment industry.

What’s on offer;

  • Excellent remuneration package
  • Hybrid, flexible working model in place
  • 22 annual leave plus company days

What's Next:

Apply now by clicking the “Apply Now" button or call me, Ellie Gavin on egavin@sigmar.ie

Or if the job isn’t quite right but you are looking for something similar, please get in touch


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