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Maintain the regulatory relationship with current and future regulatory bodies by building relationships and compliance counterparts globally
Ensure that all regulatory reporting requirements are tracked and completed for the Group.
Conduct a regular Compliance monitoring programme to verify policies and procedures conform to the latest regulations.
Ensure that all client documentation is maintained in full compliance with applicable regulation.
Ensure Approved Persons additions/deletions are processed with the CBI/other regulators in a timely manner.
Assist in the preparation and delivery of compliance training and awareness programme.
Identifying and investigating potential rule breaches, providing options available to manage and mitigate them and coordinating corrective action with other control functions as necessary/required.
Liaison with internal and external auditors and assist in managing responses and actioning compliance issues raised in audit reports & Control Self-Assessment reviews.
Ensuring regulatory Financial Promotions requirements are adhered to.
Management of the Company's Training and Competence regime, to ensure that both ongoing regulatory and Company requirements are maintained
Proven experience of reporting at Executive and Board level
Experience of working within a Fund Services/Investment Management/ManCo firm – desirable
Degree education and ACOI qualification (or proven/substantial years' experience)
Extensive experience of financial industry regulatory compliance environment
Solid experience in senior compliance level role with prior experience developing and managing compliance programs.
Excellent interpersonal skill with strong written & verbal communication skills
Ability to build relationships with stakeholders at varying levels of seniority
For a confidential discussion please do not hesitate to contact Karl Byrne, Associate Director at EMPOWERMENT Financial Search & Selection on +353 (1) 661 9235 or via email: email@example.com.