Ireland's leading wealth management business.
- To advise on Pensions and Life Assurance compliance matters.
- To monitor and report on compliance risk in two key wealth management divisions of a MiFID firm within the Group, with a specific focus on Pensions and Life Assurance Compliance.
- To monitor upstream regulatory developments and assess impact, participating in project groups to prepare for implementation and communicating preparedness and risks as appropriate.
- To oversee and contribute to the Compliance Risk Assessment for these divisions on an ongoing basis to ensure that the objectives, focus and scope of compliance monitoring and advisory activities remain valid.
- To contribute to policy documents; and provide compliance related training.
- To liaise with regulatory bodies and the firms Pensions Actuary on matters ranging from inspections to day to day queries.
- Comply with the Risk and Compliance frameworks, policies and procedures associated with the role
- 2/3+ years working in a compliance team in an investment firm with a thorough working knowledge of the Pensions Regulation and CPC and an in-depth understanding of the regulatory requirements applicable to wealth management and financial planning;
- Knowledge of the Investment Intermediary business while not essential would be a distinct advantage;
- Extensive experience of managing and influencing decisions at the most senior levels;
- Experience working in compliance and/or Professional Certificate in Compliance/Professional Diploma in Compliance
- Third Level Degree in Business, Finance, Law or equivalent;
- Excellent ability to communicate effectively, both orally and in writing to help educate, negotiate, gain consensus on decisions and enforce results;
- Ability to self-motivate and work to tight deadlines in an extremely fast paced environment are essential;
- Strength of character and a willingness to individually challenge collective thinking;.
Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003...