Compliance Analyst

Job description

Responsibilities of the role

  • Assist with the planning and execution of the firm’s periodic Compliance risk assessment and the firm’s monitoring and testing program, in accordance with industry standards and expectations of management, auditors, and the Central Bank of Ireland;
  • Compile Management Information arising from the execution of the monitoring and testing programme and identify changes and enhancements to the programme;
  • Identify and monitor new and emerging regulatory and conduct risks and impacts on the firm;
  • Assist with the maintenance the Compliance Policy and Procedures framework, ensuring all artefacts are updated on a regular basis;
  • Assist with themed reviews of different business areas and regulatory risks;
  • Design queries and conduct analysis of large data sets to measure risk factors and controls.

Previous experience:

  • 2+ years of relevant Compliance experience, preferably at a large broker or other MiFID firm, gained in a Compliance, Risk or Audit function
  • Knowledge of the applicable regulatory framework, including MiFID/R, Market Abuse, Fitness and Probity, Market Conduct Risk and other relevant Central Bank of Ireland codes / guidance. Knowledge of EMIR, PRIIPS and SFTR is a plus
  • Interest in financial instruments and financial markets
  • Broad experience of assessing risks and implementing systems and controls
  • High degree of comfort with technology and a functional understanding of how technology can be applied to business and regulatory solutions
  • Willing to take on additional responsibility, potentially including expansion of the role to cover other Compliance areas
  • Outstanding communication, problem solving and analytical skills
  • Ability to work under pressure, formulate and articulate solutions and defend assumptions
  • Excellent attention to detail
  • University degree or higher qualification
  • Professional Certificate or Professional Diploma in Compliance or currently working towards these qualifications

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