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Compliance Officer

Fisher Investments Ireland Dublin, Ireland
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The Opportunity:

As an Fisher Investments Ireland ("FII") Compliance Officer, you will help ensure the Firm and its employees are in demonstrable compliance with applicable regulations. You will be part of a small and extremely collaborative team which prides itself in producing high quality work at all times.

The Day-to-Day:

  • 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

  • Help develop the Compliance Framework and Compliance Plan, including leading development and implementation for Fitness and Probity, IAF, Conduct Risk, and Governance initiatives

  • Advise on regulatory implications for new business initiatives, ensuring that relevant compliance considerations and resulting risks, are part of the process

  • Perform compliance monitoring and testing in accordance with the Compliance Monitoring Plan and Firm Risk framework

  • Conduct annual reviews and updates to our suite of policies and procedures ensuring adherence to relevant laws and regulations

  • Tailor processes and procedures to take account of local laws and regulations for the Italian and Spanish branches while remaining aligned to group polices

  • Prepare and deliver reports to governance Committee, support Board reporting

  • Represent FII Compliance at project meetings and other business initiatives to help to ensure successful regulatory and business outcomes

  • Promote a positive compliance culture and awareness through the development and roll out of appropriate and tailored training for staff

  • Stay informed about the legislative and regulatory landscape including EU and Irish guidance, consultation papers and thematic reviews, attending industry seminars

  • Monitor, analyse and interpret regulatory changes which affect the business and perform gap analysis on those regulations, delivering the result to Senior Management

  • Engage with FII Senior Management on regulatory matters, providing oversight, challenge, guidance, and support

  • Perform ad-hoc compliance tasks as reasonably directed by the Head of Compliance

Your Qualifications:

  • Minimum 4 years of experience in a Compliance/2nd line role within a regulated firm
  • Experience leading or assisting to lead a Compliance Programme
  • Degree educated
  • Experience collaborating with Senior Management in a multi-jurisdiction enterprise
  • 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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