Legal jobs in Compliance & Legal within Banking & Financial Services

Compliance Manager

Wicklow - Bray location (strong hybrid working with 2-3 days p wk in office)

• Regulatory and scheme communications to/from CBI, UK/FCA, Banking Partners, and venture holders
• Broad compliance and risk workflows including KYC, AML, anti-fraud, anti-bribery, privacy, third party oversight, sanctions, SARs, regulatory limits and PEPs & Sanctions screening

This is an SMF16 & 17 role with a foreign banking subsidiary. The role will manage circa 17 individuals across compliance and fin crime.

The role includes compliance advisory, monitoring and fulfilment of the FCA requirements to meet the obligations set out in the FCA Handbook.

Undertake second line of defence advisory work for core responsibilities within the customer and vendor due diligence processes, such as KYC reviews and research, the prevention of money laundering and related activities.

Based in the Whiteley office, the Compliance Analyst role will provide support to the Channel Islands and UK compliance teams, specialising in regulatory compliance of Fund Service Business, Trust Company Business and Depository services. The individual will conduct compliance monitoring activity and act as advisor to the business and clients on various regulatory matters.

• the Compliance Monitoring and Surveillance function is effective in its duties as an independent second line of defence function to provide assurance on the EMEA region's compliance with relevant laws, regulations, policies and procedures and identify/investigate potential/actual unlawful or unethical practices.

A great opportunity to join a growing team in their Transaction Screening function in a Senior Analyst position.

The role of Compliance Officer consists of but is not limited to central compliance (preparation of management information, policies and procedures, keeping logs, and regulatory reporting) and performing reviews as part of the compliance monitoring programme and AML controls.

• To keep the required SMR documentation up to date.
• To maintain and keep current all corresponding processes in relation to the regime (e.g. regulatory submissions, annual fitness and propriety, managing Reasonable Steps, Job Descriptions, etc).
• To ensure an up-to-date understanding of Senior Managers Regime matters. Preparing reports, as necessary, on any regulatory developments relating to the Senior Managers Regime.

Ensures all activities conducted are in compliance with governing regulations, internal policies and procedures.

• To assist the EMEA region in complying with applicable financial and trade sanctions as well as meeting regulatory requirements/expectations.
• To undertake all EMEA material sanctions investigations involving true matches of listed persons and sensitive countries and to advise on the permissibility of such transactions.

As the Head of Compliance & MLRO, you will be responsible for overseeing all compliance-related functions within the firm, reporting into the CEO

. You will work closely with the internal and external stakeholders; such as wealth managers, financial advisors, trustees, and internal departments, to ensure that our operations are in line with relevant laws, regulations, and best practices.