Head of Compliance & Risk (PCF-15 & PCF-14)
Really exciting opportunity within FS-Investments with a growing company.
The Head of Compliance & Risk Officer will apply for approval to the Central Bank of Ireland as a PCF-15 & PCF-14. Reporting to the Board of Directors and the CEO, key responsibilities for this role include:
· Oversight of the Firm’s anti-money laundering, financial crime and sanctions framework, including acting as MLRO for the Firm
· Engaging with the Head of Client Assets Oversight (“HCAO”) with respect to compliance and risk responsibilities, as outlined in the Client Asset Management Plan (CAMP)
· Oversight of compliance with Data Protection/ GDPR obligations
· Preparation of regular updates to management and the Board of Directors with respect to compliance and risk
· Proactive engagement with the Central Bank/ other Regulators and the business with respect to regulatory matters and queries, ensuring that all information requests are promptly dealt with in a clear, concise and professional manner and addressed within defined timelines
· Assuming ownership for the definition and execution of the annual Compliance & Risk Programme and supporting Compliance & Risk Assessments & Monitoring Plan
· Maintaining the Firm’s risk register and ensuring all risks are identified, recorded, mitigated and managed on an ongoing basis
· Act as Chair of the Risk Management Committee
· Oversight and management of regulatory reporting submissions through the Central Bank’s ONR system, as well as any filings necessary to other regulators, ensuring that all deadlines are met as required and are reviewed and signed off by Compliance interacting with relevant business areas where necessary
· Ensuring the ongoing accuracy and reliability of submitted regulatory returns following up with the business where necessary
· Ensuring compliance related policies and procedures are reviewed in line with the compliance framework
· Maintaining oversight of new regulatory and legislative obligations that may impact on the Firm and its Compliance & Risk framework
· Supporting Group requirements with respect to compliance reviews of marketing and client literature
· Actively contributing to embedding and promoting a positive compliance and risk culture within the Firm
· Representing Compliance & Risk where necessary with internal and external stakeholders and ensure that the compliance agenda and risks are sufficiently considered
· Acting as a subject matter expert on compliance and risk related matters with the business
· Oversight of the delivery of ongoing compliance and risk training to the business on a range of topics, including but not limited to; AML, GDPR, Ethics etc.
· Oversight of compliance and risk services outsourced by Group entities to the Firm
· With the significant support provided by Group resources, act as MLRO for relevant Group entities.
Apply now for more information