Compliance Officer (Part-time).

360 Search is working with a long-established Irish financial services firm to appoint a Compliance Officer on a part-time permanent basis. The business provides financial planning and advisory services to a defined professional membership base, covering both personal and business financial requirements, with a strong focus on suitability and individual client circumstances. Main Duties

• Understand the various statutory and regulatory requirements and keep up to date with changes.
• Ensure all requirements are met with reference to the Consumer Protection Code, Handbook of Prudential Requirements, Minimum Competency Code, Fitness and Probity Standards, Anti Money Laundering regulation and related obligations.
• Conduct the annual review of Fitness and Probity for all relevant personnel.
• Review Minimum Competency Code accreditation and CPD requirements on an ongoing basis.
• Ensure adequate systems, procedures and controls are in place.
• Ensure reports are submitted to the Central Bank within the relevant timescales and in the correct formats.
• Ensure business risks are assessed and that adequate controls are in place to minimise them.
• Ensure staff are trained on compliance, anti money laundering requirements and data protection, and are competent to perform their respective roles.
• Monitor errors and client complaints and deal with these in line with Consumer Protection Code requirements.
• Ensure sample compliance testing of client files is conducted.
• Conduct regular reviews to ensure all key issues are being properly addressed, avoiding any compliance gaps.
• Continually update the company’s compliance procedures in line with industry changes and advise colleagues of these updates to ensure business is conducted in a compliant manner.
• Assist the General Manager with training on compliance matters as appropriate.

Requirements

• Minimum three years’ compliance experience gained within a financial services company, ideally with a retail intermediary.
• Full QFA qualification.
• ACOI qualification or similar, either held or currently being worked towards.
• Strong understanding of Central Bank regulations and legislation, with the ability to interpret requirements.
• Ability to communicate with colleagues and clients at all levels, delivering information clearly and concisely.
• Excellent organisation and time management skills with strong attention to detail.
• Flexible approach to work, able to prioritise multiple tasks and work to strict deadlines.
• Presentation skills.