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AML Compliance Officer

Fisher Investments Ireland Dublin, Ireland
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The Opportunity:

As an FII AML Compliance Officer, you will take appropriate action concerning queries, and requests for approval arising from the client on-boarding program. You will also lead the implementation of the AML Monitoring Programme. Reporting to the Head of Compliance/MLRO, you will be part of a small and extremely collaborative team which prides itself in producing high-quality work.

The Day-to-Day:

  • Monitor and promptly respond to queries and requests relating to the client on-boarding process
  • Review and approve/reject process exception requests
  • Communicate with senior management and fellow compliance colleagues concerning such requests
  • Create and clearly explain a supportable rationale behind the decision-making within cases
  • Perform daily monitoring reviews and other such compliance control tasks as detailed in the team procedures
  • Help develop the AML Compliance Framework and AML Monitoring Plan
  • Conduct AML reviews using the AML Monitoring Plan and discussing any matters that arise with the MLRO
  • Help with updates to the firms suite of procedures ensuring adherence to relevant laws and regulations
  • Review and approve/reject marketing and advertising submissions
  • Help ensure branch policies are appropriately tailored to comply with laws and regulations, while remaining aligned with group policies
  • Assist with the Firm’s Financial Crime, and Business Wide Risk Assessments, with a view to leading their completion in due course
  • 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
  • Attend and contribute to committee and project meetings to help ensure successful outcomes on business and regulatory projects, which enhance the compliance culture
  • Help advise on regulatory implications with new programs, ensuring that relevant compliance considerations and resulting risks are part of the process
  • Monitor, analyse and interpret regulatory changes which affect the business and help perform gap analysis on those regulations, while also ensuring business awareness of requirements
  • Promote a positive compliance culture, that creates awareness through the development and roll out of appropriate and tailored training for staff
  • Stay informed about guidance, consultation papers and thematic reviews from the Central Bank of Ireland, and attend industry seminars to keep senior management informed about important topics
  • Assist the Head of Compliance with governance reporting and related items

Your Qualifications:

  • Minimum 4 years of experience in a Compliance role within a regulated firm
  • Experience leading or assisting to lead an AML Compliance Programme
  • Degree educated
  • Experience educating first line departments on regulatory matters and how to handle challenges from individuals in the business
  • Italian and/or Spanish language skills a considerable advantage
  • LCOI qualification preferable but not essential

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
  • 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

We take great pride in our inclusive culture. We value the different perspectives and unique skills you bring to the team – it makes us all better. Success at Fisher Investments is motivated by results, a collaborative mindset and a commitment to accomplishing great things – so if you are ready to do that, we are ready for you! Apply today to be a part of a team environment where you make a difference in the lives of people by bettering the investment universe.


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