Compliance Officer

2 weeks ago

Dublin, Dublin City, Ireland Eirkoo Full time

Eirkoo are representing a fast growing financial advisory firm who are looking to bring in a compliance professional who is looking to excel their career. The role offers excellent exposure to someone looking to develop further in a financial services/MIFID company.

The role reports into an excellent head of compliance who has great knowledge of the industry to learn from. The role will be two days in office in the beginning and can be flexible after that, with flexible hours on offer too.

Role Responsibilities:
  1. Contribute effectively to compliance risk assessments and to the production of an annual compliance plan;
  2. Promote and develop consumer protections with particular reference to product governance, suitability & appropriateness, etc.;
  3. Perform compliance monitoring and oversight reviews (including reviews of the Company's outsourcing and delegation arrangements, AML arrangements, etc.), document results and propose enhancements where identified;
  4. Maintain an acute awareness of legislative developments and regulatory expectations;
  5. Assist with the identification, interpretation and analysis of existing and upstream legislation, which may impact on the Company's business and/or clients;
  6. Assist with the management of key projects from the initiation and planning stages through to execution and completion;
  7. Support the Company with the development, implementation and management of the Company's compliance policies and procedures;
  8. Review and assess compliance breaches and work with the Company to remediate and resolve any identified issues;
  9. Assist with the management of external relations e.g. Central Bank of Ireland, FSPO, External Auditors, etc.;
  10. Support the production and reporting of succinct management information to the Board;
  11. Contribute to maintaining a risk-aware compliance culture;
Requirements:
  1. 2-3+ years' experience working in a compliance/regulatory environment with a financial services or consulting firm;
  2. An understanding and clear appreciation of the importance of the Compliance & Risk function in a financial advisory group;
  3. An ability to identify key tasks and prioritise effective execution;
  4. Experience in implementing a risk-based compliance plan;
  5. Experience in executing and documenting compliance monitoring & oversight reviews;
  6. A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision is essential;
  7. Good knowledge of the broader EU regulatory framework, including MiFID II, CRD, IDR, CMCAR (desired not required);
Skills:

compliance, risk, fs

Benefits:

bonus, pension, more

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