Compliance Officer
- Dublin
- Permanent
- Full-time
- 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
- Carry out day-today tasks required under the Compliance Framework and Compliance Monitoring Plan, escalating to the Chief Compliance Officer, as appropriate
- Advise on regulatory implications for new business initiatives, ensuring that relevant compliance considerations and resulting risks are represented, and incorporated into the Compliance Framework
- Perform compliance monitoring and testing in accordance with the Compliance Monitoring Plan and Firm Risk framework
- Conduct annual reviews and updates to the Firm’s suite of policies and procedures ensuring adherence to relevant laws and regulations
- Ensure processes and procedures 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, assist in Board reporting
- Monitor and oversee the activities of the sales function, including Tied Agents
- 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 Chief Compliance Officer
- Minimum 4 years of experience in a Compliance/2nd line role within a regulated firm.
- Degree educated
- Excellent communication and writing skills
- Experience in collaborating with Senior Management in a multi-jurisdiction enterprise
- Experience leading aspects of a Compliance Programme
- Italian and/or Spanish language skills a considerable advantage
- LCOI qualification preferable
- Displays an aptitude for learning, strong work ethic, and the ability to work collaboratively
- 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
- $10,000* fertility, hormonal health and family-forming benefit
- 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
- This is an in-office role. Based on your role, tenure, and performance eligibility you may have the opportunity to participate in our hybrid work from home program. This program is subject to change.