Compliance Manager

Overview

Based in Dublin, this hybrid role is focused on strengthening and maintaining an effective compliance framework at FNZ to guide regulatory risk identification, assessment, control, and monitoring consistent with business, client, and regulatory risk appetites.

Role Purpose

The Compliance Manager acts as the second line of defense bringing expertise in regulatory areas including MiFID, AML, and GDPR. This role demands financial services industry experience in a fast-paced regulated environment, especially with exposure to MiFID regulations, as well as the ability to critically oversee regulatory risk and challenge business practices.

Key Responsibilities

• Maintain appropriate regulatory controls ensuring FNZ (Europe) DAC adheres to regulatory and conduct obligations.
• Conduct annual risk-based compliance assessments and develop monitoring plans reflecting FNZ’s regulatory environment.
• Manage timely and accurate regulatory reporting to authorities.
• Coordinate and deliver compliance training for employees.
• Identify, mitigate and regularly review conflicts of interest across FNZ (Europe) DAC.
• Provide compliance performance reports to the Head of Compliance.
• Lead annual review and updates of the Anti-Money Laundering policies, procedures, and templates for regulatory compliance.
• Approve AML, Politically Exposed Persons (PEP), and Sanctions checks for FNZ clients and related entities.
• Perform annual money laundering risk assessments.
• Oversee delivery and annual review of AML, PEP, and Sanction training and materials.
• Monitor regulatory horizon for developments on AML and ensure compliance updates are integrated.
• Investigate suspicious transaction reports and coordinate necessary agency filings related to FNZ’s AML duties.
• Provide consultancy on AML, PEP, and Sanctions to staff.
• Review and update financial crime prevention policies and procedures yearly.
• Offer second line monitoring of financial crime controls.

Required Experience and Skills

• Extensive understanding of the European financial services regulatory framework, including MiFID II, AML/CJA, and Central Bank of Ireland regulations.
• 5 to 10 years in senior roles within regulated financial environments.
• In-depth knowledge of operational processes linked to MiFID or fund administration, such as asset servicing and investment operations.
• Strong communication, interpersonal, and influencing abilities.
• Skilled in delivering presentations, training, and coaching.
• Capability to convey commercial advantages of robust compliance management.
• Proficiency in building and sustaining internal and external partnerships.
• Competent in analyzing and reporting risk management data to senior leaders.

Additional Information

FNZ is a global technology and wealth management platform partnering with leading financial organizations. With over $2.5 trillion assets on platform and serving close to 30 million clients, FNZ is dedicated to democratizing access to wealth creation.