Compliance Officer/Deputy MLRO
As a member of the Compliance team, you will serve as a trusted partner, promoting a culture of ethical conduct and commitment to supporting compliance, regulatory, and legal obligations. The successful candidate will be responsible for developing and implementing the compliance and anti-money laundering programme.
The Value You Deliver
- Collaborate with Head of Compliance to meet regulatory requirements.
- Develop and maintain an effective risk-based AML/CTF/Sanctions Compliance Programme to comply with requirements across the EEA. The successful candidate will be the Deputy MLRO.
- Working with Legal, Risk and Compliance colleagues to build out the firm's Three Lines of Defence model.
- Maintaining and updating compliance policies and procedures and ensuring that controls and procedures are in place across all relevant functions.
- Advise and assist colleagues with compliance related issues.
- Conducting monitoring and testing across controls and procedures in Ireland.
- Identifying new regulatory developments and communicating impact to senior management and recommending measures to address gaps.
- Working closely with Ireland’s service providers and overseeing adherence to outsourcing requirements.
- Supporting the firm’s response to regulatory requests and examinations.
- Supporting the firm’s preparation of application materials for CASP authorisation and implementing arrangements to comply with MICAR.
- Provision of compliance training to the firm and overseas colleagues.
- Undertaking risk assessments and preparation of reports for senior management.
- Reviewing customer risk assessments and undertaking reporting to external bodies.
- Working closely with colleagues in UK and US to develop compliance arrangements.
The Expertise and Skills You Bring
- 7+ years of related experience in a compliance or regulatory role.
- Operating with the highest honesty and integrity in performing your role to date, meeting fit and proper standards.
- Excellent analytical and communication skills.
- AML/CTF/Sanctions expertise including knowledge of the applicable requirements (such as the CJA and relevant EU AML Directives). Experience in implementing AML/CTF policies, controls and procedures.
- Relevant experience regarding the identification, assessment and management of financial crime risks.
- Subject matter expertise on regulatory requirements, including: MICAR; Market Abuse; Outsourcing; Conflicts of Interest; Individual Accountability Framework; Fitness and Probity; Best Execution; Regulatory Reporting and Complaints Management.
- Ability to influence key decision-makers through a combination of knowledge, reasoning, and relationships.
- Drafting policies and procedures, communications to the business and engaging training materials.
- Ability to analyse, interpret, and communicate regulatory guidance to support business unit initiatives and advise leaders how to proceed in a compliant manner.
- Experience of working in digital assets, custody or trading environment.
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