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Compliance Ireland is a financial services management consultancy based in Ballsbridge, Dublin 4. We specialise in regulatory affairs for the Irish financial services sector, handling both domestic and IFSC businesses.

Compliance Ireland is a multi-disciplinary practice - our staff are composed of professionally-qualified lawyers and accountants to offer you uniquely unparalleled expertise.

In addition, our extensive operational experience means that we can offer you practical, workable solutions that can actually be implemented.

 

Compliance Ireland is a 100% Irish-owned company. Click to find out more about our Principals:



Between Peter and Kevin, we offer nearly 40 years of financial services experience in such fields as corporate governance, financial control, legal, compliance, MiFID, Director Services, data protection, operations and risk management, covering a broad spectrum of regulatory affairs, both financial and non-financial businesses.

Our professional experience is multi-faceted and covers:
  • the regulator side as well as the regulated.
  • regulators in Ireland, the UK, the USA, Australia, Canada, Japan & Bermuda.
  • the geographic locations of Dublin, London & Sydney.
  • the industry sectors of banking, offshore funds, investment management, fund administration, insurance, stockbroking, telecoms and universities.

 

Consulting
Examples of a limited selection of engagements undertaken to date include:
  • Interim Senior Executive appointment to one of Ireland's largest Custodial business.
  • Retained to provide business and compliance advice to many IFSRA authorised investment business firms.
  • Advice and services on data protection to one of Ireland's largest real estate business following a data protection audit by the Data Protection Commissioner.
  • Advice and services on data protection to one of Ireland's largest financial intermediaries following a data protection audit by the Data Protection Commissioner.
  • Authorisation for and analysis of the operations of an investment manager trading in exotic derivatives including drafting of authorisation application, processes, procedures and manuals.
  • Regulatory and operational risk analysis and advice to a structured finance provider.
  • Anti-money laundering risk assessment of funds and (in excess of 250) investors on behalf of a fund promoter and administrator ahead of the transfer of the funds to the incoming administrator. Project was undertaken on a risk-sensitive basis (as required by the 3rd EU AML Directive).
    • Review of the operational risk management infrastructure of an Irish hedge fund administrator.
    • Review of the operational risk management infrastructure of an Irish 'long' fund administrator.
  • Services to several hedge fund administrators, including:
    • advice on applications for Financial Regulator (IFSRA) authorisation,
    • drafting operational procedures, compliance manuals and other documentation as part of the authorisation process,
    • attending meetings with Financial Regulator (IFSRA),
    • delivering of tailored in-house training to directors and staff on regulatory and corporate governance requirements,
    • retained to provide on-going regulatory advice to senior management.
  • Advising a funds company on compliance procedures prior to a Financial Regulator (IFSRA) regulatory inspection.
  • Advising the Corporate Banking unit of one of Ireland's largest resident Banks on:
    • its Compliance Function,
    • drafting the Compliance Function's terms of reference and compliance manual.
  • Assisting an Irish Insurance company with:
    • its IAASA & Financial Regulator (IFSRA) Directors' Compliance Statement requirements,
    • drafting of an extensive list of 'relevant obligations' and a concise summary of each obligation,
    • training of directors and staff on corporate and personal responsibilities.
  • Drafting codes of conduct (to US Rule 17j-1 and the Financial Regulator (IFSRA) Handbook standards) and providing AML advice to an Irish based (US owned) fund administrator.
  • Reviewed the anti-money laundering policies and procedures of an Irish based (US owned) bank, including assistance to the bank's internal audit function.
  • Reviewed the anti-money laundering policies and procedures of an Irish based insurance undertaking and delivery of training to all staff.
  • Review of an insurance broker as part of a wider compliance risk assessment.
  • Advising and training a group of universities on their data protection responsibilities.
  • Advising and training a staff of an Irish Stockbroking firm on the implications of MiFID.
  • Delivering training to the directors and audit committee of a large IFSC bank on AML.
  • Assisting a mobile telephone company to identify data protection risks within its business.
  • Advising small and large firms on corporate governance and corporate secretarial responsibilities and assisting with shareholder disputes.
  • Advising Irish funds and insurance firms on their anti-money laundering procedures and responsibilities.


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Training

 


Compliance Ireland has trained and delivered compliance presentations to more than 1500 professionals from Ireland, the UK, other European Member States, U.S., Australia, the Middle-East and Africa (including company directors, Compliance Officers, MLROs, accountants, lawyers & HR professionals) across more than 450 Irish and UK financial services firms, law firms, universities and telecom businesses, plus in excess of 250 businesses based in other European Members States, the U.S., Australia, Middle-East and Africa.

With collective first-hand financial, legal, accounting and regulatory experience of nearly 40 years from bases in Dublin, London and Sydney, Compliance Ireland is a first class international training and consulting business covering large and small financial institutions, intermediaries and corporate businesses on authorisations, compliance, corporate governance, data protection, anti-money laundering and management of Financial Regulator & other regulators' inspection visits.

In a nutshell, we have trained and delivered compliance, corporate governance, risk and other regulatory presentations:

  • to more than 2,000 professionals from Ireland, the UK, other European Member States, U.S., Australia and Africa. This include Company Directors, Compliance Officers, MLROs, Regulators, Accountants, Lawyers, Human Resources professionals and Civil Servants,
  • across more than 380 Irish and UK financial services firms, law firms, universities, telecom businesses and government bodies,
  • to in excess of 270 businesses based in other European Members States, the U.S., Australia and Africa.

 

Through our own unique public training programmes, we have delivered training to:

  • 700 staff of 420 financial institutions, corporations and legal practices through public training courses & seminars in Dublin, Cork and Belfast on Compliance, Anti-Money Laundering and Data Protection;
  • 400 staff, through specifically tailored in-house training*, at banks, financial institutions (e.g. fund administrators, investment managers, insurance companies & custodians/trustees), legal practices, universities and mobile telecommunication providers;
  • 80 staff from law firms, including Partners, Assistants and clerks on Anti-Money Laundering;
  • 100 staff of various accounting firms at training arranged by their professional associations; and
  • 200 plus directors, MLROs and staff of credit unions on behalf of the Irish League of Credit Unions, as part of the ILCU's national anti-money laundering awareness and data protection campaigns for credit unions.

*NB: Each in-house training assignment is specifically tailored to the business operations and processes of each client.

We also present papers at regulatory conferences in Ireland, Spain and Kuwait, including presenting papers at:
  • Central Bank of Kuwait - International Seminar on Anti-Money Laundering and Combating Terrorist Financing, Kuwait (November 2006)
  • Financial Services Ireland - Anti-Money laundering - 3rd Directive (November 2006)
  • Institute of Bankers - Compliance - Corporate and Personal Responsibilities (March 2006)
  • Infoline's Consumer Protection and Minimum Competency Requirements seminar (September 2006)
  • IIR's conference Anti-Money Laundering in Ireland' Data Protection in Ireland and chairing the Corporate Governance in Ireland seminars (various dates in 2004-2009)
  • Century Law Training's conference 'Managing Your Legal Practice in the 21st Century' and 'Cost Effective Anti-Money Laundering Training' at an industry-wide anti-money laundering conference (2004 -2006).
  • 2nd Annual European Anti-Money Laundering Conference in Barcelona, Spain (2005).



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Compliance Ireland Regulatory Services Limited
Lower Ground Floor

13 Adelaide Road

Dublin 2

Ireland

tel: +353 1 6688278
fax: +353 1 6335005 

Visitors to this page also visit the following sections on this website:

Updates to affiliated websites


Compliance Ireland Regulatory Services Limited - (CRO 430127)           City Compliance Regulatory Services Limited - (CRO 430128)

Registered Office: Mespil House, Sussex Road, Dublin 4, Ireland              Peter Oakes | +353 (0) 87 273 1434 | peter@complianceireland.com
Fax: +353 (0) 1 633 5005, London Office: +44 (0) 207 193 3518          Kevin O'Doherty | +353 (0) 86 828 0525 | kevin@complianceireland.com