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.
FII is searching for an experienced Compliance professional to join its Compliance team as an Analyst.
The Compliance Analyst will assist Fisher Investments Ireland and its employees to operate in accordance with applicable regulations.
The Analyst will be part of a small and extremely collaborative team which prides itself in producing high quality work at all times, and will assist the Head of Compliance on various compliance tasks within the team.
- Aid with maintaining the compliance framework
- Assist with the firms compliance regarding AML/CFT requirements and with completion of AML risk assessments
- Monitoring of AML/CFT on an ongoing basis
- Assist with maintenance of the register of accredited persons (under MCC) and record of PCF/CF functions (help with completion of annual declarations for PCF holders and carry out annual due diligence)
- Monitor the supervision of new entrants by supervisors within the firm
- Assist with updating the firm’s policies and procedures to effect any changes in regulation / legislation
- Keep on top of any new Central Bank of Ireland thematic reviews, guidance to the industry, etc.
- Provide compliance support to various areas within the firm
- Assist with the preparation of the quarterly compliance reports to the board
- Help to deliver compliance training in the areas of Compliance Induction, AML, Conflicts of Interest, Suitability, Market Abuse
- Help with the day to day administration of the compliance function
- Assist with certain aspects of Central Bank of Ireland regulatory reporting for both the firm and its branches in other European jurisdictions
- Assist with compliance monitoring programme and with monitoring the outsourced activities
- 3+ years of regulatory compliance and compliance advisory experience, preferably acquired in a wealth management firm
- A strong AML/CFT background would be desirable
- Experienced in reading, understanding and summarising in simple language lengthy regulatory publications
- Attention to detail is critical to this role
- Strong knowledge and experience of the Central Bank of Ireland including MiFID II regulations
- Ability to educate the first line business areas on regulatory matters and to effectively handle challenges from individuals in the business
- Strong knowledge of investment suitability and financial promotions regulations
- A good understanding of financial markets, financial instruments and market awareness
- A good understanding of discretionary portfolio management, asset management, pension advice and regulatory requirements relating to retail and professional clients
- Ability to prioritise multiple tasks, work to deadlines and effectively manage own time
- Excellent written and oral communication skills
- Proficiency with Microsoft tools such as Excel, Word, Visio and Power Point is desirable.
- A qualification in compliance will be advantageous.
Why Fisher Investments Ireland:
Fisher Investments Ireland offers portfolio management tailored to clients’ long-term goals. Client assets are held at recognised European custodians and managed by Fisher Investments in the United States. Fisher Investments and Fisher Investments Ireland use a simple and transparent fee structure that aligns our interests with our clients’ priorities. The Fisher organisation has a long history of managing global investments and helping people reach their long-term goals and objectives.
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 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%
- Monthly gym subsidy.
- A supportive, collaborative working environment
- Employee appreciation events
- Ongoing training and educational support
The global Fisher organisation distinguishes itself by putting clients first, providing world-class service, and taking a personalised approach. Join a team that’s bringing new approaches to wealth management daily!
By applying, you are consenting that the information on your public profile, CV, resume, and any other information you submit to us can be saved in our database for the purpose of considering you for current and future job opportunities. You may withdraw this consent at any time by emailing CandidateInfo@fisherinvestments.co.uk. Your information will be used for the purpose of considering you for employment in accordance with our privacy policies at https://www.fishercareers.com/?site_type=INT#footer_privacy.
FISHER INVESTMENTS IRELAND IS AN EQUAL OPPORTUNITY EMPLOYER
*Employees responsible for taxes
**Available only to regular full-time employees with at least a 12-month contract