Senior Compliance Specialist

We are Unio, an established Wealth Management business backed by Great-West Lifeco, via its Irish subsidiary Irish Life Group.

Unio specialises in employee benefit consultancy and private wealth management and has over 30 years’ experience advising companies and personal investors. With offices in Dublin, Cork, Galway and Limerick, Unio has €14 billion in assets under administration and advice. We advise more than 10,000 private clients in relation to wealth management.

Unio’s values are an important determinant of our future success and permeate all facets of our business including recruitment. They are:

• Uncompromising Client Commitment

• Noble Endeavour

• Infinite Ambition

• One Unio

The Role:

We are looking to recruit a Senior Compliance Specialist in Unio. Reporting to the Head of Risk, Legal and Compliance the role will play a key part in implementing risk and compliance policies, activities, reviews and new legislation ensuring Unio meets its statutory obligations.

Responsibilities:

• Assist with Implementing new regulation within Unio

• Oversight for Data Privacy, Consumer Protection, IDD, and related regulation across the business  

• Reviewing and updating Compliance Policies and Procedures 

• CBI Thematic review, oversight of action plan

• RoPA-vi clarity oversight

• Dealing with Complaints

• Draft and oversight of training to staff

• Marketing communication sign off

• Deal with data breaches and data access requests

• Stay knowledgeable on the latest regulatory rules and changes and trends in the industry

• Role in training and ensuring competence of advisers and suitability

• Perform internal reviews to drive greater quality controls design, execution, greater efficiency, and rationalisation.

• Prepare regular risk reports for senior management, Board, Committees, and other relevant stakeholders

• Support with external and internal audits

Skills And Experience:

• Excellent communication skills, written and verbal

• Strong client focus, combined with analytical and problem-solving skills

• Strong relationship and stakeholder management skills

• Analytical and organisational skills necessary to conduct reviews

• Process Mapping and key interdependencies experience

• Ability to work within tight deadlines and complete deliverables as assigned by the Head of Risk and Compliance.

• Knowledge of relevant Financial Services Regulations

• Knowledge and understanding of governance/assurance processes and control environment

• 3rd level qualification preferred

• Minimum of 3+ years of experience in compliance / risk role

Application Process:

If you think you are a good fit for this role, then we invite you to apply.

The Company reserves the right to draw up a shortlist as part of the selection process. The selection process employed will be at the discretion of the Company.

Unio Financial Services is an equal opportunities employer