Compliance Advisory - FTC Ireland
A great opportunity for a Compliance Advisory position
Working in the exciting market of Dublin
About Our Client
The client is one of Britains largest investment managers, that have recently set up new business in Dublin.
- To provide support to the Head of Compliance.
- Provide guidance and assistance to stakeholders in relation to adherence to Compliance policies.
- Carry out independent challenge, assurance and monitoring of compliance as second line of defence.
- Carry out regulatory analysis to provide considered compliance advice and challenge to stakeholder, in a timely manner.
- Supporting the Compliance team as necessary
- Assist in the review of new legislation and to analyse the impact it may have on the business.
- Assist with the development of staff training
- Assist the Head of Compliance with updating and maintaining frameworks, in line with relevant regulation.
- Assisting the Head of Compliance with report writing, for presentation at both local governance and Group committees.
- Identify and escalate issues, implement required solutions, and assist colleagues in developing solutions.
- Identify and implement efficiencies to ensure team priorities continue to be met.
- Support your decisions with data, give comfort we have covered areas of review / responsibility.
- Focus on MiFID and CPC requirements
- Maintain and proactively support continuous improvements of Compliance processes and controls, including reviewing policies, collating management information, and assisting in the review of CBI communications as required.
- Support audit and regulatory requests for information to ensure these are managed effectively.
- Liaise with and provide assistance to Project Managers and other parts of Risk and Compliance in matters related to Compliance Advisory Team's coverage areas which affect business activities.
- Maintain knowledge on industry developments, regulatory changes, internal policies, and procedures as appropriate to effectively discharge the role.
- Consistently contribute to developing a high performance, fast-paced, solution-focused Compliance Advisory team with deliverables produced to a high standard, meeting agreed deadlines, and effectively managing stakeholder's expectations.
- Demonstrate and encourage continuous improvement and innovative thinking; identify and correct shortfalls in performance levels.
- Present self professionally and knowledgeably with stakeholders - trusted to represent Risk & Compliance throughout the business.
- Anticipate change and be flexible in shifting priorities according to demand.
The Successful Applicant
- Professional qualification (Licentiate of ACOI (LCOI), Certificate in Data Protection)
- 3rd Level degree (or equivalent), is preferable
- 3+ years' experience in a similar role within the financial services industry (ideally Wealth Management)
- Strong regulatory knowledge - ability to provide advice to the first line - MiFID II knowledge ideal
- Ability to independently take forward initiatives while collaborating, sharing information and being an effective team player.
- Excellent influencing skills and strong ability to communicate effectively with stakeholders, providing direction and challenge where required.
- Strong work ethic, enthusiasm for role
- Impeccable report writing skills
- Ability to prioritise tasks accordingly, and escalate issues as required.
- Good Microsoft Office Skills
What's on Offer
This role offers an extended contract within a highly regarded firm, in an exciting an growing market. This role offers a competitive salary with the option to further develop the candidates skill set.