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Compliance Recruitment Solutions

Head of Compliance & MLRO – Private Client Asset Management Experience Required

Compliance Recruitment Solutions
Ireland, Dublin
Posted 1 day ago In-Office Permanent €140K - €160K + bonus & benefits
David
Posted by
David Symes
Recruiter
Our Client, a leading US Asset Manager, is looking for a Head of Compliance & MLRO for their European business based in Dublin, also covering Italy & Spain with responsibility for the development and operation of the Company's independent compliance function. Reporting to the CEO, duties will include:
  • Management of the Compliance department including recruitment and supervision of staff, allocation of resources and oversight of budget.
  • Advising and liaising with management and staff throughout the business on compliance and regulatory issues and their obligations.
  • Developing and maintaining compliance policies and procedures to ensure the firm adheres to its regulatory requirements in Ireland and Europe.
  • Key contact for liaison with regulators (CBI, CNMV & CONSOB) and maintaining a good relationship with all regulators, ensuring regulatory permissions remain current and appropriate for business needs.
  • Implementation and conducting all compliance surveillance and monitoring activities.
  • Keeping abreast of regulatory developments and industry initiatives and advising the firm accordingly.
  • MLRO for the firm, ensuring business activities are conducted in conformity with applicable AML laws, regulations and internal policies and procedures.

The successful candidate must have gained significant senior investment Management Compliance experience including good knowledge of MIFID and the CBI investment management requirements (in particular Distribution & Suitability as they apply to Private Clients) and applicable AML regulations, whilst also be willing to learn the relevant Italian & Spanish regulatory requirements.

This is a very visible, influential and independent role and as such requires the candidate to not only be technically strong but also to have exceptional interpersonal and influencing skills.  You will also have the ability to present complex technical information clearly and accurately and to manage senior level relationships with internal and external parties including the regulators.

This is an excellent opportunity for an experienced and talented senior compliance practitioner to join the European Arm of a multi-billion dollar US Asset Manager in a position that will be technically challenging but also allow you the autonomy to develop the Compliance Function in your style and ensure that a strong and supportive compliance culture exists and is maintained throughout the business.

If this sounds an interesting opportunity and would like to know more, please call Gary Collins on 020 7562 7400 for a confidential discussion about this position or send your details to gary@symescollins.com (including a contact number & email) however please note due to Covid we cannot reply to all applications so only successful applications will be contacted (although under no circumstance are your details ever passed on without your specific permission).  

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

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.

 

Job ID  3878G2
ABOUT COMPANY
United Kingdom, London
Compliance / Legal
Ethical, Expert & Professional Recruitment by former Compliance Officers, specialising in AML & Financial Crime (including Anti Bribery & Corruption, ...
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