Compliance Officer

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Overview

The Fisher Investments Ireland (“FII”) Compliance Officer is an important contributor in the day-to-day operations of the FII Compliance Framework. As part of the Fisher Compliance function, you will work closely with the other FII Compliance team members, the Compliance teams in other Fisher entities, and engage with senior management across the Group.
Overview

The Fisher Investments Ireland (“FII”) Compliance Officer is an important contributor in the day-to-day operations of the FII Compliance Framework. As part of the Fisher Compliance function, you will work closely with the other FII Compliance team members, the Compliance teams in other Fisher entities, and engage with senior management across the Group.

The Opportunity:

As a Fisher Investments Ireland (“FII”) Compliance Officer, you will help ensure the Firm and its employees are in demonstrable compliance with applicable regulations at all times. You should be a highly organised individual with strong analytical skills, a creative mind-set, sound judgement, and strong business acumen. You will be part of a small and extremely collaborative team which prides itself in consistently producing high-quality work, in a positive working environment.

The Day-to-Day:

Provide advice to the business on appropriateness and effectiveness of controls in place and the application of regulations and guidance to the business activities of the Firm
Carry out day-today tasks required under the Compliance Framework and Compliance Monitoring Plan, escalating to the Chief Compliance Officer, as appropriate
Advise on regulatory implications for new business initiatives, ensuring that relevant compliance considerations and resulting risks are represented, and incorporated into the Compliance Framework
Perform compliance monitoring and testing in accordance with the Compliance Monitoring Plan and Firm Risk framework
Conduct annual reviews and updates to the Firm’s suite of policies and procedures ensuring adherence to relevant laws and regulations
Ensure processes and procedures take account of local laws and regulations for the Italian and Spanish branches while remaining aligned to group polices
Prepare and deliver reports to governance Committee, assist in Board reporting
Monitor and oversee the activities of the sales function, including Tied Agents
Represent FII Compliance at project meetings and other business initiatives to help to ensure successful regulatory and business outcomes
Promote a positive compliance culture and awareness through the development and roll out of appropriate and tailored training for staff
Stay informed about the legislative and regulatory landscape including EU and Irish guidance, consultation papers and thematic reviews, attending industry seminars
Monitor, analyse and interpret regulatory changes which affect the business and perform gap analysis on those regulations, delivering the result to Senior Management
Engage with FII Senior Management on regulatory matters, providing oversight, challenge, guidance, and support
Perform ad-hoc compliance tasks as reasonably directed by the Chief Compliance Officer

Your Qualifications:

Minimum 4 years of experience in a Compliance/2 nd line role within a regulated firm.
Degree educated
Excellent communication and writing skills
Experience in collaborating with Senior Management in a multi-jurisdiction enterprise
Experience leading aspects of a Compliance Programme
Italian and/or Spanish language skills a considerable advantage
LCOI qualification preferable
Displays an aptitude for learning, strong work ethic, and the ability to work collaboratively

Why Fisher Investments Ireland:

The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. You can feel confident knowing that Fisher Investments and Fisher Investments Ireland align with our clients’ priorities by using a simple and transparent fee structure and recognised European custodians.

It’s the people that make the Fisher purpose possible, and to help our employees meet their long-term goals, we offer an array of benefits, including:

100% paid premiums for our top-tier supplemental healthcare and dental plans for employees and their qualified dependents
28 days annual leave, with the ability to purchase up to 3 additional days per year, plus up to 11 paid holidays
Enhanced maternity pay package with 26 weeks’ top up to full base pay for eligible employees
$10,000* fertility, hormonal health and family-forming benefit
A retirement pension plan, featuring a 9% company pension contribution of your base pay and an additional company match of up to 5% of base pay
Monthly gym subsidy of up to €50 per month
Employee Assistance Program and other emotional wellbeing services
A collaborative working environment that practices ongoing training, educational support and employee appreciation events
This is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change.
Employees residing outside of the US will be eligible for the $10,000 equivalent in their local currency.

FISHER INVESTMENTS IRELAND IS AN EQUAL OPPORTUNITY EMPLOYER
Seniority level Seniority level Mid-Senior level
Employment type Employment type Full-time
Job function Job function Legal
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