Senior Compliance Officer

3 months ago

Dublin, Ireland Fisher Investments Full time

Overview

The Fisher Investments Ireland (“FII”) Senior Compliance Officer leads significant aspects of the FII Compliance Framework. Reporting to the Chief Compliance Officer (“CCO”), you will review the effectiveness of core pieces of the Compliance Framework, analyse and identify any areas of improvement or development, and implement necessary changes. Compliance Monitoring will be a primary function of this role, among other responsibilities.

To achieve their goals, you will work closely with the other FII Compliance team members, other Fisher Compliance teams, and Senior Management across the Group.

The Opportunity:

As a senior member of this team, you will lead and implement evolutions in the Compliance Framework, drawing from experience, to enhance the existing programmes. You will work within the global Fisher compliance department to promote standardization. You will perform much of the daily monitoring and testing of the Compliance Monitoring Programme, and lead other non-AML aspects of this Framework including risk management, governance, reporting, training, and regulatory requests. You will also deputise for the CCO, collaborating with internal audit, senior management, regulators and other external parties on regulatory matter and governance fora. You will lead by example, providing guidance, coaching and assistance to junior members of the team.

The Day-to-Day:

Lead and manage the Compliance Monitoring Programme to effectively evaluate our compliance to it’s obligations under MiFID II and evaluate effectiveness of procedures Coordinate the full monitoring and testing lifecycle from development of the Annual Plan, model testing criteria, performance of the testing, drafting of review reports, to the delivery of Management Information to the appropriate governance fora Manage and deliver regulatory requests for information . Common Supervisory Actions, within timelines and with necessary internal review and approvals Ensure prompt filing of all regulatory filings and returns Collaborate across all departments within the Compliance Programme which may include IT, and Finance, Third-party Vendors and our users Proactively manage changes in the Compliance Framework arising from regulatory changes, identify potential issues, and implement effective processes Create documentation supporting Compliance Framework components and record-keeping requirements, so compliance can be demonstrated easily Coach, mentor, motivate and oversee program team members and contractors, and use your influence to create a positive impact Work with Senior Management partnering to provide guidance, assurance, oversight, and promote the effectiveness of the Compliance Framework

Your Qualifications:

Bachelor’s Degree or equivalent combination of education and experience required 8+ years of experience in 2nd line role within a regulated financial services entity Excellent oral and written communication skills Comfortable working both independently and in a team-oriented, collaborative environment Dynamic and able to support shifting priorities and timelines proactively Past success eliciting cooperation from different sources, including senior management, internal clients, and other departments Able to classify and prioritize work balancing various concurrent tasks Display sound discretion and good judgment regarding confidential matters Comfortable working cross-functionally with different departments across the company

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

*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

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