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Head of Compliance - Ireland

Fisher Investments Ireland Dublin, Ireland

Overview

Do you have a passion for securities-based compliance? Your experience and passion working within a world of always changing regulations will help provide guidance and direction to the business. You can be a part of Fisher Investments Irerland (FII) within our globally diverse and growing privately held investment firm.

The Opportunity:

As the Head of Compliance you will be responsible for our compliance function and also serves as the MLRO, managing a small team to ensure an effective compliance programme. This position will be registered as PCF-12 and PCF-52 with the Central Bank of Ireland.

The Day-to-Day:

  • Provide advice and guidance to the business on relevant regulatory issues
  • Develop, initiate, maintain and revise policies and procedures
  • Ensure an effective annual compliance monitoring plan
  • Provide regular reports to keep the Board and senior management informed of the operation and progress of compliance efforts
  • Act as the firm liaison with the CBI, CNMV, Consob and other regulatory agencies as necessary
  • Responsibility for the complaints handling process and the annual compliance training programme
  • Oversight of AML process and procedures, including approval complex and/or EDD AML cases
  • Work with members of the global legal and compliance team to help ensure a culture of compliance and a congruent compliance programme throughout the organisation
  • Respond to alleged violations of rules, regulations, policies or procedures by evaluating or recommending the initiation of investigative procedures

Your Qualifications:

  • Adequate qualification certificates in compliance and AML
  • 7+ years of experience in financial services compliance
  • Familiarity with MiFID and other investment firm regulations of the Central Bank of Ireland, investment management, pension advice, and CNMV and Consob AML and tied agent requirements
  • Demonstrated leadership and people management skills
  • Knowledge of Italian and/or Spanish would be a definite 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% 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