Compliance Office - Life & Pensions

360 Search; Leinster; On-site; EUR 40,000 - 60,000; Part time

Job summary

360 Search, a long-established financial services intermediary regulated by the Central Bank of Ireland, is seeking an experienced compliance professional for a part-time role (3 days per week) to own the compliance function.

You will ensure adherence to Consumer Protection Code, Fitness & Probity Standards, Minimum Competency Code and AML regulations, conduct annual reviews, supervise training, and drive robust controls while supporting the General Manager.

Qualifications

• Significant experience within a financial services intermediary.
• Experience in compliance, risk or regulatory roles is preferred.
• Understanding of Irish regulatory framework and intermediary setting.

Responsibilities

• Understand statutory and regulatory requirements and stay updated.
• Ensure compliance with Consumer Protection Code, Fitness & Probity, MCC, AML.
• Conduct annual Fitness & Probity reviews.
• Review MCC accreditation and CPD requirements.
• Maintain systems, procedures and controls.
• Submit regulatory returns to Central Bank on time.
• Assess business risks and implement controls.
• Train staff in compliance, AML, and Data Protection.
• Monitor client complaints and regulatory responses.
• Carry out sample compliance testing of client files.
• Close compliance gaps and update procedures.
• Support the General Manager with compliance training.

Skills

Regulatory compliance

Financial services knowledge

Communication skills

Time management

Education

Full QFA qualification

ACOI qualification or similar

Job description

Our client is a long-established, Central Bank of Ireland regulated financial services intermediary providing financial planning services to a specialist professional client base. The business has built its reputation on delivering a personal, high-quality service, with advice always centred on what is right for the individual client and their circumstances.

The firm holds authorisations across investment, insurance and mortgage intermediation, and operates in line with the Consumer Protection Code 2025, the Fitness & Probity Standards and the Minimum Competency Code.

THE OPPORTUNITY

This is a part-time permanent role (3-days per week), taking ownership of the compliance function within a well-regarded and client-focused business. The role would suit an experienced compliance professional, but it would equally suit a well-experienced Life & Pensions professional with a strong interest in compliance who is looking to move into a dedicated compliance role. Candidates with solid intermediary experience and a genuine appetite for the regulatory side of the business will be given full consideration.

MAIN DUTIES

• Understand the relevant statutory and regulatory requirements and keep up to date with changes.
• Ensure the firm meets its obligations under the Consumer Protection Code, Handbook of Prudential Requirements, Minimum Competency Code, Fitness & Probity Standards and Anti-Money Laundering regulations.
• Conduct the annual Fitness & Probity review of all relevant personnel.
• Review Minimum Competency Code accreditation and CPD requirements on an ongoing basis.
• Ensure adequate systems, procedures and controls are in place.
• Ensure regulatory returns are submitted to the Central Bank on time and in the correct format.
• Assess business risks and ensure appropriate controls are in place to manage them.
• Ensure staff are trained in compliance, Anti-Money Laundering and Data Protection, and are competent in their roles.
• Monitor errors and client complaints, handling them in line with Consumer Protection Code requirements.
• Carry out sample compliance testing of client files.
• Conduct regular reviews to identify and close any compliance gaps.
• Keep the firm's compliance procedures up to date in line with industry changes and communicate updates to colleagues.
• Support the General Manager with compliance training as required.

REQUIREMENTS

• Significant experience within a financial services intermediary, ideally in a retail or Life & Pensions advisory environment.
• Full QFA qualification.
• A good working knowledge of the Irish regulatory framework and an understanding of how it applies in practice within an intermediary setting.
• A strong interest in compliance and the motivation to develop a career in this area.
• Clear and confident communication skills, with the ability to explain requirements to colleagues and clients at all levels.
• Excellent organisation and time management, with a strong eye for detail.
• A flexible approach, with the ability to prioritise multiple tasks and meet regulatory deadlines.
• Previous experience in a compliance, risk or regulatory role, or exposure to compliance responsibilities within an advisory business.
• ACOI qualification or similar, or a willingness to work towards it.