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.
