Vice President | Compliance & Control

An organisation are seeking a future team member for the role of Vice President, Compliance and Control, to join the Pershing EMEA Compliance team. This role is based in Dublin and reports to the Head of Compliance, Dublin of Pershing Securities International Limited (PSIL), the Irish regulated entity of Pershing EMEA. In this role, you’ll make an impact in the following ways:

1. To ensure that PSIL meets the corporate requirements of the group as well as the strategic requirements of the Bank of New York within the specific remit for areas of responsibility.
2. Responsible for working with business lines and business partner functions to review the impact of regulatory change and to participate in working groups as the Compliance Specialist for PSIL.
3. Working with other Compliance professionals across the broader EMEA Compliance team to ensure co-ordinated and complete delivery of services and effective communication of relevant information and observations.
4. Engaging with PSIL business and compliance functions in EMEA, US and APAC.
5. Responsible for recording and preparing escalation data on Compliance issues impacting PSIL in line with Group and local processes.
6. Collation and production of Management Information data and documentation for governance committees, regulators, internal audit, etc.
7. Collation of Fitness and Probity information pertaining to PCFs and CFs, and MRT information.
8. Representing PSIL Compliance function and providing appropriate challenge at relevant internal and external meetings where required.
9. Contribute to the development of projects and programs to improve compliance and enhance the control environment.

1. Ensure the regulated entity staff and any other relevant persons (e.g. Directors) receive adequate training as required under the Irish regulation.

1. Preferably degree education and/or industry qualifications.
2. At least 5 years’ experience within a custody, wealth management, funds custody or MiFID Investment Firm environment.
3. Knowledge, experience and understanding of equities and fixed income and FX.
4. Experience working in a compliance function within a global organisation.
5. Ability to deliver multi-mode communications that convey a clear understanding of the unique needs of different audiences.
6. Detailed knowledge of the Individual Accountability Framework including the Senior Executive Accountability Regime (SEAR), EMIR, MiFID/MiFIR and MAR rules and regulatory requirements, as well as CBI requirements.
7. A member of the Compliance Institute, holding the LCOI designation or equivalent.