Compliance Officer - The Portfolio Group : Job Details

Job Purpose

Responsible for assessing risks, identifying patterns and trends, whilst performing overall compliance management.

Job Overview

The successful candidate will manage a range of compliance issues and will be responsible for assessing risks, identifying patterns and trends, whilst performing overall compliance management, in the form of internal auditing and the implementation of measures.

Day-to-Day Responsibilities

• Analyse full sales process to ensure sales procedures are compliant in line with best practice and regulatory expectations.
• Assessment of Business Development Managers for quality and compliance standards
• Assess Field /Office Based Consultants for quality and compliance standards
• Oversee quality assessment process across sales teams both in the field and office based
• Conduct compliance investigations as and when required and advise on themes and trends
• Responsible for the implementation and monitoring of compliance controls including carrying out regular spot checks of websites, emails, letters, documents and processes
• Maintain and develop current OHSAS 18001 and ISO 9001 and 27001 certifications.
• Internal auditing of processes and procedures from a compliance perspective, particularly those procedures relating to the sales process.
• Develop an effective education and engagement program through ongoing communication and training to senior management
• Work closely with Directors across the Ireland business and Group Directors.

What you Bring to the Team

• Established and successful compliance background being able to meet the "fit and proper" person test.
• Strong communicator, with the ability to communicate clearly and concisely, varying communication style depending upon the audience
• Ensuring personal knowledge in regulation changes
• Confident knowledge of regulation guidelines and best practice
• Risk analysis and problem solving expertise
• An organised individual with strong attention to detail
• Commerciality and the ability to apply knowledge in a practical, commercially focused manner
• Proactive suggestions for improvement
• High level of integrity and accountability for results
• Can-do attitude offering strategic analysis and day to day involvement in compliance across the Group.

48421SK

INDIRE