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Compliance Analyst

Fisher Investments Ireland Dublin, Ireland

The Opportunity:

As a Compliance Analyst, you will help ensure Fisher Investments Ireland and our employees comply with applicable regulations. Reporting to the Head of Compliance, you will be part of a small and extremely collaborative team which prides itself in producing high-quality work.

The Day-to-Day:

  • Utilise experience in AML/KYC and adverse news screening
  • Create and clearly explain a supportable rationale behind the decision-making within cases
  • Help develop the Compliance Framework and Compliance Plan
  • Perform compliance testing according to the compliance and risk frameworks
  • Conduct annual reviews and assist with updates to the firms suite of policies and procedures ensuring adherence to relevant laws and regulations
  • Help with tailoring processes to follow local laws and regulations in the branch jurisdictions in which the firm operations
  • 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
  • Work with the overall compliance team to help build the firms risk-based compliance monitoring activities
  • Attend and contribute to committee and project meetings
  • Help advise on regulatory implications with new business initiatives, 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 and 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 FII Senior Management informed about important topics
  • Engage with FII Senior Management to help provide regular compliance updates
  • Assist the Head of Compliance with Quarterly Board reporting and related items which need to be provided to the FII Board of Directors
  • Help to ensure successful outcomes on business and regulatory initiatives/projects which enhance the compliance culture
  • Perform ad-hoc compliance tasks

Your Qualifications:

  • Degree educated
  • LCOI qualification preferable but not essential
  • 3+ years of experience within a regulated firm, having MiFID experience or knowledge desirable but not essential
  • Experience educating first line departments on regulatory matters and to handle challenges from individuals in the business
  • Collaborative and able to prioritize and manage own time
  • Multilingualism an asset

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.


*Employees responsible for any benefit-in-kind taxes as a result of the premiums/membership costs paid by the Company