Head of Compliance

Location: Dublin
Working Pattern: Hybrid (3-days on site)
Role: Head of Compliance (PCF12)

Role Description

The Risk and Compliance function exists to enable the FNZ Group to safely achieve its strategic objectives and protect value; to support the growth and delivery of services and propositions to the quality our clients and regulators expect.

This role has been created in order to:

• Reporting into a Chief Risk Officer, this post sits within the second line of defence (2LOD) risk and compliance function and can shape the risk and compliance approach within FNZ. This role will provide insight, oversight and challenge on risk and compliance matters.

• The role has intensive stakeholder engagement both with the business and externally e.g., regulators, shareholders and clients.

• Key responsibilities will focus on supporting the [regional] business with its immediate and ongoing Risk and Compliance obligations. The role will require the provision of risk and compliance advice business initiatives and engagements, as well as undertaking monitoring, oversight and advice to ensure appropriate compliance and risk management practices are adopted, implemented and embedded.

Specific Role Responsibilities

• The position will provide management of Risk and Compliance related matters to ensure that practices, systems and documentation comply with the law and regulation, contractual obligations and applicable codes of practice.

• Develop approaches to address regulatory development and other risk and compliance change requirements.

• Analyse new legislation, determine the impact on FNZ and its customers and liaise with business partners to ensure successful implementation.

• Deliver the Group Risk Management Framework.

• Represent risk and compliance at appropriate regional governance committees and boards.

• Assist in the promotion of a positive risk and compliance culture throughout the region through support, education and training to staff.

• Development and management of annual compliance monitoring and assurance plans.

• Provide advice, monitoring and challenge to key business stakeholders in implementing the Group Risk Management Framework.

• Engaging with colleagues on a global basis, to ensure consistency of approaches across all FNZ regions.

• Clear, accurate and timely risk and compliance management information/reporting is delivered

Functional Area Responsibilities

• Managing a team within the [region] risk and compliance function.

• Managing team resources, planning and recruiting new staff as and when workload dictates.

• Carry out staff performance reviews, identifying staff development and training needs and devising development programmes.

• Champion FNZ’s goals and values.

• Supporting the team’s efforts to succeed.

• Balance team and individual responsibilities.

• Exhibit objectivity and openness to others' views.

• Provide second line of defence advice, oversight and challenge.

• Oversight of compliance with regulations and law, including Privacy and Data Protection.

• Ensuring there is robust risk and compliance management in place for [regional] significant and business critical change projects.

Experience Required

Primary requirements

• In-depth knowledge of the [regional] financial services regulatory regimes.

• 5-10 years’ experience in working at a senior level within a regulated environment.

• Significant previous experience of proven leadership and managerial experience, with the ability to lead and develop teams.

• Knowledge of applicable [regional] regulatory requirements.

• Professional or industry relevant qualification.

• Excellent knowledge of risk and compliance best practices.

• Experience in engaging with [regional] regulators.

• Experience in analysing complex risk and compliance issues and reporting.

• Well-developed relationship management and interpersonal skills essential for managers in large institutions and a proven record of obtaining stakeholder buy in across all levels of the business.

• Strong communication skills to be able to engage directly with the business, clients and other external parties.

• 'Hands on’ attitude, proactive ‘can do’ approach, and the ability to get the job done.

• Ability to understand the commercial impact/benefits of regulatory and contractual compliance and risk obligations.

• Excellent attention to detail.

• Numerate.

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About FNZ

FNZ is committed to opening up wealth so that everyone, everywhere can invest in their future on their terms. We know the foundation to do that already exists in the wealth management industry, but complexity holds firms back. 

We created wealth’s growth platform to help. We provide a global, end-to-end wealth management platform that integrates modern technology with business and investment operations. All in a regulated financial institution. 

We partner with the world’s leading financial institutions, with over US$2.2 trillion in assets on platform (AoP).
Together with our clients, we empower nearly 30 million people across all wealth segments to invest in their future.