Compliance Officer

Posted 12 April 2024
Salary Up to €50,000 per annum
Job type Permanent
Discipline Compliance
Contact NameLuana Chagas

Job description

Compliance Officer

Investment Banking

Hybrid - Dublin


This is an exciting opportunity for a compliance professional to further develop their career and gain experience with the Investment Banking sector.

The responsibilities of the role will encompass:

  • Provide Compliance advisory support to the Firm's Investment Banking division, specifically the Equity & Fixed Income Desks and Research Department.

  • Keep abreast of relevant regulatory changes affecting the Firm and maintain a detailed understanding of Irish, European and US regulatory requirements, including (but not limited to) MiFID II & delegated regulation, MAR, FINRA's rulebook, Fitness & Probity and Minimum Competency Code.

  • Lead and participate in regulatory implementation projects with the first line of defence.

  • Maintain and develop Compliance policies and procedures to ensure compliance with all regulatory requirements, and provide training to employees on their obligations.

  • Provide advice and guidance to the Firm on Conflicts of Interest, including the maintenance of registers and holding of external directorships.

  • Assist with day-to-day queries from the business (and their clients), such as questionnaires and client onboarding requests.

  • Build and maintain strong working relationships with all colleagues, regulators and other stakeholders.

  • Lead regulatory change projects as they pertain to Investment Banking.

Experience and Qualification:

  • Third level qualification in a business/legal related area is advantageous.

  • Willingness to complete/holding of FINRA Series 7 and Series 24 licences is a requirement.

  • Detailed knowledge of MiFID, MAR, Exchange & Transparency Rules is advantageous.

  • Project Management skills are a distinct advantage.

  • Candidate expected to have at least 3 years working experience in financial services.

  • Proficient in Microsoft applications principally Word, Excel and Powerpoint.

Person Specification:
The ideal candidate would demonstrate:

  • A strong team player with demonstrated initiative.

  • Highly professional with a good understanding of financial services.

  • The ability to communicate confidently at all levels in the firm.

  • Excellent interpersonal skills with the ability to influence and challenge people.

  • Ability to work in a fast-paced environment.

  • Ability to work under pressure and prioritise workload.