Compliance Manager

Biograph Wealth Advisors; Dublin; On-site; EUR 85,000 - 110,000; Full time

Benefits offered by this job

Competitive salary

Performance bonus

CPD funding

Training opportunities

Personal days

22 days annual leave

Job summary

Biograph Wealth Advisors, based in Dublin 2, seeks a full-time Compliance Manager to lead regulatory compliance across the firm and report to the Operations Director and Head of Finance. The role is standalone, with direct collaboration with the CEO, advisor group and senior leadership to ensure regulatory obligations are met while delivering excellent client experience.

You will own the compliance framework, conduct CDD/KYC reviews, maintain policies, oversee GDPR/data protection, and train

Qualifications

• 5+ years in a compliance role within financial services
• Experience running a compliance function
• GDPR and data protection compliance experience
• AML/CFT, MiFID II and Central Bank regulatory knowledge
• Excellent writing and communication skills
• Ability to work independently and own a function
• Attention to detail
• Comfortable working autonomously as sole owner while collaborating with leadership

Responsibilities

• Own and manage the firm's regulatory compliance framework
• Lead due diligence, KYC/AML reviews and screening
• Maintain compliance registers, policies and annual updates
• Oversee GDPR compliance for client and employee data
• Conduct client file reviews and regulatory audits
• Monitor regulatory developments and implement new requirements
• Design and deliver training on GDPR and data protection
• Manage Fitness & Probity and MCC regime
• Perform other duties as assigned
• Collaborate with CEO, operations, and senior leadership

Skills

Regulatory compliance

GDPR & data protection

AML/CFT & MiFID II

KYC & CDD

Policy & procedure management

Training delivery

Data protection officer experience

Stakeholder communication

Independent owner of function

Job description

Biograph Wealth Advisors is a leading wealth management company based in Dublin 2. Our clients are typically high net worth individuals such as business owners, entrepreneurs, medical professionals and some of Ireland's leading sports professionals. Intentionally small, we operate at the forefront of investment theory whilst delivering a best-in class wealth management experience to our clients.

We are currently recruiting for a full-time Compliance Manager to lead our compliance function. This is a standalone role with full responsibility and ownership for regulatory compliance across the firm: you will report directly to the Operations Director and Head of Finance, and work closely with the CEO, the advisor group and senior leadership team to ensure Biograph continues to meet its regulatory obligations while delivering an excellent client experience.

Activities

As Compliance Manager, you will hold full responsibility for the compliance function as a standalone role. You will report directly to the Operations Director and Head of Finance, and work closely with the CEO, the advisor group and senior leadership team. Your responsibilities will include:

• Taking full ownership and accountability for the firm's regulatory compliance framework, as the sole owner of the compliance function.
• Conducting new client due diligence (CDD) and periodic KYC/AML reviews, including PEP and sanctions screening.
• Maintaining the firm's compliance registers, policies and procedures, and reviewing and updating all compliance policies annually or as new regulatory developments emerge
• Acting as the firm's data protection lead, ensuring GDPR compliance across client and employee data, including data subject access requests, breach reporting and data processing agreements with third parties
• Conducting client file reviews and audits to ensure files meet regulatory and internal standards.
• Monitoring regulatory developments and leading the implementation of new requirements across the firm.
• Designing and delivering compliance training to staff, including GDPR and data protection awareness training.
• Managing the firm's Fitness & Probity and Minimum Competency Code (MCC) regime.
• Other duties as assigned.
• 5+ years' experience in a compliance role within financial services, with demonstrable experience running a compliance function
• Specific experience of GDPR and data protection compliance, ideally including experience as a Data Protection Officer or in a similar capacity
• Strong working knowledge of AML/CFT, MiFID II and Central Bank regulatory requirements
• Excellent writing and communication skills
• Proven ability to work independently and take full ownership of a function
• Strong attention to detail
• Comfortable working autonomously as the sole owner of the compliance function, while remaining a collaborative team player
• Confidence to challenge norms, present ideas for change, and influence senior stakeholders
• Proficient in MS Word, Excel, and Outlook
• Ability to manage multiple deadlines and prioritise effectively

Package

We offer a very competitive package for the right candidate. The hours are 9am to 5pm (Mon - Fri) and the role is office based.

• Competitive salary, commensurate with experience.
• Performance related bonus
• Support for continuing professional development, including funding for relevant compliance qualifications and exams
• Internal and external training
• Personal days
• 22 days annual leave