Careers At Abbey Wealth

Head of Compliance

– Appointment subject to candidate approval for PCF 12 and 52 by Central Bank of Ireland

– Location: Dublin/Dundalk, with occasional EU travel

Role Description:

The compliance team delivers, coordinates, and continuously develops an effective compliance management framework providing the tools to enable Abbey Wealth to identify, assess, control and monitor conduct and regulatory risk.

The Head of Compliance works in the second line of defence and brings both experience and knowledge of regulatory requirements in respect of IDD, AML, Counter Terrorist Financing and GDPR. Practical experience and achievements in similar roles will demonstrate your ability to provide oversight of the regulatory risk environment and your ability to challenge the business across the core elements of the compliance management framework. This includes oversight of the application of regulatory compliance policies and procedures, executing the compliance monitoring plan, and monitoring and reporting on compliance with IDD, AML, Financial Crime and GDPR regulations.

Duties & Responsibilities:

  • Compliance Oversight, ensuring there are appropriate regulatory controls in place within the business to establish and maintain compliance with regulatory requirements including conduct obligations.
  • Lead AML / Financial Crime/CTF activity ensuring the correct controls and reporting structure is in place.
  • Act as the Firm’s primary contact point with Central Bank of Ireland and Data Protection Commission.
  • Monitor and report compliance with EU data privacy requirements and GDPR.

Experience Required:

  • In-depth knowledge of the European financial services and regulatory framework IDD, AML/CJA, GDPR, CBI Regulations.
  • 5 years’+ experience working at a senior level within a regulated environment.
  • MIFID experience essential to support compliance obligations elsewhere in the business.
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