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Compliance Manager - Wealth Management


£99397 - £108433/annum Plus Benefits



Ireland's leading provider of wealth management, asset management, capital markets and financial advisory services.

Key Responsibilities:

To identify, assess, monitor and report on compliance risk in two key wealth management divisions of a MiFID firm within the organisation.

To ensure that the Compliance Monitoring Plan is continuously reviewed and prioritised and that scheduled monitoring is undertaken with findings reported and followed up on.

To provide accurate, consistent and timely advice to the business on an ongoing basis

To be responsible for the collation of regulatory reports as required.

To lead and develop one or more compliance professionals.

To prepare more formal quarterly updates for the Head of Compliance for the purposes of reporting to the Risk & Compliance sub-committee of the Board.

To monitor upstream regulatory developments and assess impact, participating in project groups to prepare for implementation and communicating preparedness and risks as appropriate.


5+ years working in a compliance team in an investment firm with a thorough working knowledge of MiFID II, MAR and CPC and an in-depth understanding of the regulatory.

Third Level Degree in Business, Finance, Law or equivalent;

Extensive experience of managing and influencing decisions at the most senior levels;

Professional Certificate in Compliance/Professional Diploma in Compliance and/or a willingness to take exams in the future if required.

Strength of character and a willingness to individually challenge collective thinking

Randstad Financial & Professional encourage applications from individuals of all ages & backgrounds. Appointment will be made on merit alone but candidates must be able to demonstrate their ability to work in the UK. Randstad Financial & Professional acts as an employment agency for permanent recruitment & an employment business for temporary recruitment as defined by the Conduct of Employment Agencies & Employment Business Regulations 2003


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