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Irish Compliance Analyst

Dublin, Ireland
Operations
11472

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Job Description

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 an experienced Compliance professional to join our Compliance team as an Analyst.

The Compliance Analyst will assist Fisher Investments Ireland and its employees to operate by following applicable regulations.

 

The Analyst will be part of a small and extremely collaborative team which prides itself in producing high-quality work, and will assist the Head of Compliance on multiple compliance tasks within the team.

 

The Day-to-Day:

  • Help develop the overall Compliance Framework and Compliance Plan
  • Help monitor the MiFID business in Ireland with a focus on conflicts of interest Management, transaction reporting, best execution and ensuring compliance with our MIFID compliance framework
  • Perform compliance testing with the compliance and risk frameworks
  • Be a point of contact within Compliance in relation to MiFID specific queries
  • Conduct annual reviews and assist with updates to the firms suite of procedures ensuring adherence to relevant laws and regulations
  • 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
  • Work with the compliance team to help build the firms risk-based compliance monitoring activities
  • Help advise on regulatory effects with new projects, ensuring that relevant compliance considerations and resulting risks, are part of the process
  • Monitor, analyse and interpret regulatory changes which affect the business and help perform gap analysis on those regulations while also ensuring business awareness of requirements
  • Promote a positive compliance culture and awareness through the development and roll out of appropriate and tailored training for staff, particularly on MiFID specific areas
  • Report to the Head of Compliance with Quarterly Board reporting and related items which need to be provided to the FII Board of Directors

Your Qualifications:

  • LCOI qualification preferable but not essential
  • 3 years within a regulated firm, having MiFID experience or knowledge
  • Experience with Institutional Investors desirable
  • Educate the first line teams on regulatory matters and to effectively handle challenges from individuals in the business
  • Multilingualism an 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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