Head of Compliance - Ireland
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 Ireland (FII) within our globally diverse and growing privately held investment firm.
As the Head of Compliance, you will be responsible for our compliance function and also serve 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.
- 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
- Be the firm liaison with the CBI, CNMV, Consob and other regulatory agencies as necessary
- Manage the complaints handling process and the annual compliance training programme
- Oversee 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
- 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
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