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Compliance Associate

Fisher Investments Ireland Dublin, Ireland

Overview

Fisher Investments Ireland Limited (Fisher Investments Ireland or "FII") is a wealth manager offering portfolio management tailored to clients' long-term goals. Client assets are held at recognised European custodians and sub-managed by Fisher Investments Ireland parent company, Fisher Investments in the United States.

The Opportunity:

FII is searching for a Compliance Associate to join our Compliance team.

Reporting to the Head of Compliance, as the Compliance Associate you will be part of a small and extremely collaborative team which prides itself in producing high-quality work. You will assist the Head of Compliance on different compliance tasks within the team, to help Fisher Investments Ireland and its employees to follow applicable regulations.

The Day-to-Day:

  • Aid with maintaining the compliance framework and compliance risk assessments
  • Help with our compliance regarding applicable rules and regulations in Ireland, Italy and Spain
  • Assist, where required, with AML / KYC onboarding reviews and AML queries
  • Help with reviews of marketing materials to ensure compliance with regulatory obligations and maintain a register of all reviewed materials
  • Update our policies and procedures to effect any changes in regulation / legislation
  • Help with activities related to the Compliance Monitoring Programme
  • Prepare reports to summarise the main findings of monitoring activities
  • Help with oversight of outsourced activities
  • Assist with regulatory returns and filings to the Spanish and Italian regulators
  • Help prepare the quarterly compliance reports to the board
  • Help to deliver compliance training in areas such as compliance induction, training to Tied Agents for our branches and other ad-hoc training as determined by the Head of Compliance
  • Aid with maintaining the relevant registers under the Fitness & Probity Regime in Ireland the Minimum Competency Code (help with completion of annual declarations for persons holding control functions in FII)
  • Perform daily administration tasks of the compliance function

Your Qualifications:

  • At least 1 year of experience working in a regulated financial services firm
  • Ability to educate and communicate with the first line departments on regulatory matters and to handle challenges from individuals in the business
  • An understanding of discretionary portfolio management, asset management, pension advice and regulatory requirements relating to retail and professional clients
  • Ability to work to priority and manage own time
  • Fluency in another language, in particular Spanish / Italian would be advantageous

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% coverage of the supplemental medical and dental premiums for you and your qualified dependents*
  • Our supplemental medical provider, Irish Life Health, covers a range of conditions
  • Dental coverage through DeCare and 100% reimbursement for general and preventative care
  • 28 days annual leave, increasing to 30 after five years of service, with the ability to purchase up to 3 additional days
  • A supplemental retirement pension to employees. 9% company pension contribution with an additional company match up to 5%
  • A collaborative working environment that practises ongoing training, educational support and employee appreciation events
  • Monthly gym subsidy*

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.

FISHER INVESTMENTS IRELAND IS AN EQUAL OPPORTUNITY EMPLOYER

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