Job Description:
The Senior Compliance Officer leads significant aspects of the FII Compliance Framework, reporting to the Chief Compliance Officer. Key responsibilities include reviewing the effectiveness of core pieces of the Compliance Framework, analysing and identifying areas for improvement, and implementing necessary changes. Compliance Monitoring will be a primary function of this role.
To achieve goals, you will work closely with other FII Compliance team members, Fisher Compliance teams, and Senior Management across the Group.
The Opportunity:
As a senior member of this team, you will lead evolutions in the Compliance Framework, drawing from experience to enhance existing programmes. You will perform daily monitoring and testing of the Compliance Monitoring Programme, lead non-AML aspects, including risk management, governance, reporting, training, and regulatory requests.
The Day-to-Day:
* Lead and manage the Compliance Monitoring Programme to evaluate our compliance under MiFID II.
* Coordinate monitoring and testing lifecycle, develop Annual Plans, model testing criteria, and deliver Management Information to governance fora.
* Manage regulatory requests, ensure filing of regulatory filings and returns, and collaborate with various departments.
* Proactively manage changes in the Compliance Framework arising from regulatory changes, identify potential issues, and implement processes.
* Create documentation supporting Compliance Framework components and record-keeping requirements.
Your Qualifications:
* Bachelor's Degree or equivalent combination of education and experience required.
* 8+ years of experience in a 2nd line role within a regulated financial services entity.
* Excellent oral and written communication skills, comfortable working independently and in a team-oriented environment.
* Past success eliciting cooperation from different sources, including senior management, internal clients, and other departments.
Why Fisher Investments Ireland:
The global Fisher organisation distinguishes itself by putting clients first, providing unmatched service, and taking a personalised approach to investing. We offer an array of benefits, including paid premiums for healthcare and dental plans, enhanced maternity pay package, fertility benefit, retirement pension plan, and employee assistance program.