Compliance Officer

Halpin Wealth and Mortgages; Cork; Hybrid; EUR 60,000 - 90,000; Full time

Job summary

Halpin Wealth and Mortgages in Cork seeks a Compliance Officer to oversee regulatory compliance across the practice, ensuring adherence to Central Bank of Ireland requirements and internal policies within financial planning, protection, and mortgage services.

You will monitor procedures, perform risk assessments, conduct internal audits, maintain records, draft policies, and deliver training while collaborating with advisers and management to strengthen controls in a hybrid, Cork-based role.

Qualifications

• Strong compliance management skills and experience designing, implementing, and monitoring compliance frameworks and internal controls.
• Proficiency in regulatory compliance, with a solid understanding of Central Bank of Ireland regulations and relevant financial services legislation.
• Excellent analytical skills to assess risk, interpret complex regulatory requirements, and provide practical compliance guidance.
• Clear and professional communication skills, with the ability to explain regulatory requirements to non-specialists and prepare concise reports and documentation.
• Foundational knowledge of finance and financial planning products, including pensions, investments, protection policies, and mortgages.
• Relevant professional qualification; QFA or equivalent accreditation is an advantage.
• Experience in a regulated financial services environment, ideally within wealth management, insurance, or mortgage brokerage.
• Strong attention to detail, integrity, and the ability to work independently while collaborating effectively within a small team.

Responsibilities

• Oversee regulatory compliance across Halpin Wealth and Mortgages, ensuring adherence to Central Bank of Ireland requirements and internal policies in all areas of financial planning, protection, and mortgage services.
• Monitor and review compliance procedures, perform risk assessments, conduct internal audits, and maintain up-to-date records and documentation.
• Draft and update policies, deliver compliance training to team members, review client files for regulatory completeness, and advise on new products or services from a compliance perspective.
• Collaborate with advisers, management, and external providers to address regulatory queries, respond to inspections, and support continuous improvement of controls.

Skills

Compliance management

Regulatory compliance

Analytical skills

Communication skills

Finance knowledge

QFA qualification

Regulated environment experience

Attention to detail

Job description

Company Description

Halpin Wealth and Mortgages (HWM) is a Cork-based, family financial planning practice founded in 2021 by members of the Halpin family, supporting individuals, families, and business owners across Ireland. The firm offers tailored advice across pension planning, investment management, life and income protection, serious illness cover, mortgage protection, and mortgage brokerage. HWM focuses on building long-term client relationships by understanding each client’s full financial picture before making recommendations. As a multi-agency practice, HWM works with a broad range of leading providers to deliver solutions that are genuinely aligned with client needs. Halpin Wealth Management Limited is regulated by the Central Bank of Ireland.

Role Description

The Compliance Officer is responsible for overseeing regulatory compliance across Halpin Wealth and Mortgages, ensuring adherence to Central Bank of Ireland requirements and internal policies in all areas of financial planning, protection, and mortgage services. Day-to-day duties include monitoring and reviewing compliance procedures, performing risk assessments, conducting internal audits, and maintaining up-to-date records and documentation. The role involves drafting and updating policies, delivering compliance training to team members, reviewing client files for regulatory completeness, and advising on new products or services from a compliance perspective. The Compliance Officer will collaborate with advisers, management, and external providers to address regulatory queries, respond to inspections, and support continuous improvement of controls. This is a full-time, hybrid role based in Cork, with a mix of office-based work and some work-from-home flexibility.

Qualifications

• Strong compliance management skills, including experience designing, implementing, and monitoring compliance frameworks and internal controls.
• Proficiency in regulatory compliance, with a solid understanding of Central Bank of Ireland regulations and relevant financial services legislation.
• Excellent analytical skills to assess risk, interpret complex regulatory requirements, and provide practical compliance guidance.
• Clear and professional communication skills, with the ability to explain regulatory requirements to non-specialists and prepare concise reports and documentation.
• Foundational knowledge of finance and financial planning products, including pensions, investments, protection policies, and mortgages.
• Relevant professional qualification; QFA or equivalent accreditation is an advantage.
• Experience in a regulated financial services environment, ideally within wealth management, insurance, or mortgage brokerage.
• Strong attention to detail, integrity, and the ability to work independently while collaborating effectively within a small team.