compliance Consultancy

Compliance with statutory and regulatory obligations is now more important than ever in the complex regulatory environment in which financial service providers operate. There are increasingly onerous requirements to demonstrate compliance, satisfy regulatory compliance obligations and keep up-to-date with continual regulatory changes. Therefore, early intervention is vital to avoid any regulatory compliance issues from becoming too difficult to manage.

Our Compliance Team provides comprehensive regulatory compliance advice and support to regulated entities and typical engagements include:

  • Businesses that require a Compliance Health Check;
  • Start-up businesses requiring advice and support in the authorisations process;
  • Existing businesses requiring an overhaul of its compliance controls and systems to allow focus on income generation;
  • Businesses that require specific advices on a particular regulatory or compliance matter;
  • Businesses that require a Compliance Audit with follow-up report.

In all cases high-quality and cost-effective practical solutions will be provided to ensure appropriate levels of compliance and solutions will be tailored to meet businesses specific circumstances.

Legal & Compliance Officer

Joan joined Quintas Wealth Management in 2009. She has particular responsibility for advising, monitoring and setting out the procedures and controls necessary for QWM to meet its legal and regulatory obligations. Prior to joining Quintas, Joan worked for Ronan Daly Jermyn, Solicitors, Cork and two Dublin law firms. Joan holds an L.L.B. (Hons.) Degree in Law & European Studies, is a qualified Solicitor and has attained a Professional Certificate in Compliance as well as having completed the Professional Diploma in Compliance which is awarded by UCD. Joan holds professional membership with the Law Society of Ireland, the Association of Compliance Officers in Ireland (ACOI) and is a member of the ACOI Consumer Protection Working Group.

River House, Blackpool Park,
Blackpool, Cork.
t: 353 21 4641480 f: 353 21 4220055
Company No: 410487 Registered in Rep. of Ireland

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