This is a senior role within the Sanne Compliance team. The role is to ensure that the activities of Sanne entities that are regulated in Ireland are undertaken in accordance with the regulatory and statutory requirements and in accordance with Group procedures.
The role also provides support to the Chief Compliance Officer to deepen the capability and operational reach of the monitoring and testing programmes in the business together with developing the Group compliance network and evolution of the group wide compliance capabilities.
- Undertake the role of Compliance Officer for the Sanne entities regulated in Ireland;
- Provide reports on a regular basis and as directed or requested, to the Board(s) as appropriate;
- Develops initiates, maintains and revises policies and procedures for the general operation of the compliance program and its related activities to prevent illegal or improper conduct and manage day-to-day operation of this program;
- Responds to alleged breaches of rules/regulations, policies, procedures, by evaluating or recommending the initiation of investigative procedures;
- Acts as an independent review and evaluation body to ensure that compliance issues and concerns within the Company are being appropriately evaluated, investigated, and resolved;
- Identifies potential areas of compliance vulnerability and risk, develops and implements corrective action plans for resolution of problematic issues, and provides general guidance on how to avoid or deal with similar situations in the future;
- Provides reports on a regular basis, and as directed or requested, keeps the Board informed of the operation and progress of compliance efforts;
- Ensures proper reporting to enforcement agencies as appropriate or required;
- Monitors the performance of the Compliance Monitoring & testing Program and relating activities on a continuing basis, taking appropriate steps to improve its effectiveness.
Skills / experience required
- A minimum of five years’ experience in a Compliance and/or regulatory role;
- Leadership ability, ability to communicate effectively;
- Familiarity with financial services laws, regulations, and standards, understanding of risk management, and performance improvement;
- Motivated and driven.
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