Compliance Advisory - Prudential & Wholesale Market Conduct

Posted 27 June 2024
Salary Negotiable
Job type Permanent
Discipline Compliance
Contact NameKevin Adam

Job description

Compliance Advisory - Prudential & Wholesale Market Conduct - Manager


An innovative multinational trading firm, based in Dublin is hiring for a Compliance Advisory - Manager to support the business in maintaining compliance with a range of regulatory requirements. The flat structure will suit someone who enjoys working closely with stakeholders, supporting & advising them in navigating the ever-changing rules & regs.


You'd be reporting to the Chief Compliance Officer, a person who perfectly balances support & autonomy. Passionate about developing the team & providing a platform for career development. Open minded & flexible approach.

About the company:

You'd be joining a highly profitable & well-regarded business with an entrepreneurial & fast paced environment. You'd get exposure to complex financial markets & trading floors all over the world. This business is well run by nice people, who re-invest their profits into their people & culture plans, development & social initiatives. The flat structure will enable you to maintain a great overview of the whole business, there are always new & interesting projects underway allowing you to continuously learn & develop.

Your role:

  • Provide prudential & wholesale market conduct advice and assurance to senior management, ensuring your colleagues are aware of the Firm's regulatory obligations.
  • Conduct assurance assessments in respect to the firm's frameworks, policies, and procedures, as well as the firms core documents.
  • Undertake compliance risk assessments on the firms' regulatory obligations, identifying the firm's inherent, residual and control risks, and further identifying areas warranting further investigation and remediation.
  • Horizon scanning to identify new, amended and updated regulatory requirements, identifying their potential impact and escalating to the Ex Co and relevant impacted functions.
  • Chair of the Regulatory Change Forum. The Forum will take an initial consideration of the impacts of regulatory change areas and proposed ownerships and avenues for the full assessment of its implementation. Maintain a list of horizon items and agreed action points to be implemented and embed regulatory requirements. Present the horizon and action log every month to the Executive Compliance Committee.

About you:

  • Prudential Risk & Markets conduct experience
  • Experience within financial markets/trading
  • Ability to take complex regulations & simplify advice to your colleague

Would you like to know more about this role & company? If so, please reach out to Kevin in Broadgate for more info.