Compliance Professional Job Description
We are seeking a Compliance Professional to excel their career in our fast-growing financial advisory firm.
Key Responsibilities:
* Contribute to compliance risk assessments and annual compliance planning.
* Promote consumer protections, particularly product governance, suitability, and appropriateness.
* Perform compliance monitoring and oversight reviews, documenting results and proposing enhancements.
* Maintain awareness of legislative developments and regulatory expectations.
* Assist with identifying, interpreting, and analyzing existing legislation impacting the Company's business and clients.
* Support project management from initiation to completion.
* Develop, implement, and manage compliance policies and procedures.
* Review and assess compliance breaches, working to remediate and resolve issues.
* Manage external relations, including Central Bank of Ireland and External Auditors.
* Produce and report management information to the Board.
* Contribute to maintaining a risk-aware compliance culture.
Requirements:
* 2-3+ years' experience in a compliance/regulatory environment, preferably with a financial services or consulting firm.
* Understanding of the Compliance & Risk function's importance in a financial advisory group.
* Ability to identify key tasks and prioritize effective execution.
* Experience implementing a risk-based compliance plan.
* Experience executing and documenting compliance monitoring & oversight reviews.
* Clear, detailed approach with excellent record keeping and minimal supervision.
* Good knowledge of the EU regulatory framework, including MiFID II (desired).