Sarah Dineen Email and Phone Number

On maternity leave

I was promoted to hold both the PCF14 and PCF15 roles for BlackBee Investments. This is a senior leadership role within the organisation. My responsibilities included: - Managing a medium sized team of Compliance and Risk Managers and Executives;- acting as the regulatory liaison with the Central Bank of Ireland;- Designing and embedding the Risk and Compliance frameworks and Co-ordinating Risk and Compliance management processes;- Providing training, advice and guidance to staff, Boards of Directors and investment intermediaries;- Reporting to the Board of Directors and executive management;- Co-ordinating the risk identification and escalation processes within the firm;- working with senior management to ensure risks are appropriately categorised, mitigated and reported upon;- Oversight of the firm’s compliance with its prudential and conduct of business obligations;- Responsibility for overseeing compliance with applicable regulations in respect of BlackBee and its affiliated entities (e.g. MiFID II, CPC, GDPR, Fitness and Probity. MCC, AML Regulations, AIFMD amongst others)- Defining and implementing the annual Risk and Compliance plan;- managing strategic and regulatory change initiatives;- Embedding a culture of risk and compliance.

I held the PCF15 role for BlackBee Investments. My current responsibilities include:Acting as the regulatory liaison officer;Managing a medium sized team of Compliance professionals;Designing and embedding the compliance frameworks and co-ordinating compliance management processes;Providing training advice and guidance to staff, management and the Board of Directors;Reporting to the Board of Directors and executive management;Identifying compliance risks and working with senior management to mitigate such risks;Responsibility for overseeing compliance with applicable regulation of BlackBee Investments and its affiliated companies. These regulations include MiFID II, CRDIV, AIFMD, CPC, AMLD4, GDPR, Corporate Governance Requirements, Fitness & Probity, MCC, Securitisation Regulations amongst others;Defining and implementing the annual Compliance plan, including the formal Monitoring and Training Programs;Managing strategic regulatory change initiatives;Managing upstream regulatory risk;Embedding a culture of risk and compliance

In this role I had responsibility for:- corporate governance (which requires the submission of the annual Compliance statement and annual Board training)- the training programme for the Bank, I deliver face to face training to all Bank employees on AML and general compliance awareness annually. I also deliver specialised tailored training sessions to select employees as required;- providing Compliance advice and guidance to staff in our Corporate Banking, Investment Banking and Wealth functions;- mentoring and supervising Compliance team members;- delivering the Compliance monitoring programme and following up on outstanding actions;- Representing the Bank at industry seminars and fora and providing feedback for submissions to relevant regulatory authorities;- Managing the Bank's relationships with various regulatory authorities;- ensuring compliance with the provisions of the Fitness and Probity Regime;- tracking forthcoming legislation and regulation and working with the business to ensure compliance prior to implementation of same;- Drafting, reviewing and issuing policies and procedures;- maintaining oversight of the current workload and resources of the department and tracking deadlines;- Acting as the Deputy Money Laundering Reporting Officer, reviewing and submitting STRs and providing guidance on matters relating to AML, Financial Sanctions and Anti Bribery and Corruption- maintaining and developing a culture of compliance within the Bank and acting as a liaison where required;- completion of compliance and financial crime risk assessments;- preparing relevant Management information and key metrics for the Board and Executive management

Monitoring new and emerging regulations and industry codes and communicating these requirements and their implications to the business;Promoting the compliance culture across the company in accordance with the Compliance risk management processes;Supporting the development of policies and procedures that comply with relevant regulatory requirements and promote a positive compliance culture;Providing high quality reporting/regulatory updates/management information to staff/management as required;Approving advertising, legal agreements and client documentation to ensure compliance with legal and regulatory requirements;Ensuring compliance with the organisation's obligations under the Consumer Protection Code.

Managing relationships and correspondence with national regulators;Conducting Risk Based Monitoring within the organisation;Implementation of legal and regulatory requirements;Documenting procedures to evidence compliance;Creating a culture of compliance within the organisation;Delivering compliance training and regularly communicating compliance issues to all staff within the organisation;Involvement in regulatory projects, with a focus on compliance with AML requirements.