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Compliance Officer


  • Dublin City Centre
  • 40000 - 50000
  • Permanent full-time
  • Updated 17/01/2018
  • HR
this job is expired
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Reporting to the Head of Compliance, the Compliance Officer will be responsible for advising the business and management on the application of compliance-related rules and procedures and will undertake to monitor and report on the effectiveness of controls.



  • Support the Head of Compliance in the delivery of the Annual Compliance Plan.
  • Develop, implement, maintain and monitor adherence with the Compliance Framework including Policies, Procedures and Monitoring Plan
  • Act as a point of contact for the business for AML-related escalations
  • Quality assurance (driving effectiveness and efficiency)
  • Prepare and present to Head of Compliance periodic reporting required by Group, Business and Regulators
  • Design and execute compliance monitoring systems and procedures to ensure that the business is operating within their regulatory risk appetite
  • Provides advice on regulatory implications on product, business strategies and activities
  • Oversight and investigate errors and breaches
  • Provide Compliance and AML training

You will need...

At least 2 years of experience in compliance, working in-house within a compliance department
preferably in a MiFID Investment firm.
• Knowledge of trading systems advantageous
• Knowledge of (or ability to learn) the relevant regulatory environments (which include but are not limited to, MiFID, EMIR, ASIC, BVIFSC.) and any others that may be required from time to time.
• Relevant professional Compliance qualifications such as LCOI, ACOI or and /or 3rd level qualification related to Compliance                                                                                                                     • Excellent numeracy and analytical skills, and the ability to understand data and compile reports


Ref: Compliance Officer2
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