Compliance Analyst

Job Description

Role Summary:

The Compliance Analyst will report to the Senior Compliance Manager on the Core Compliance Team. They will be responsible for conducting periodic testing in line with Compliance Monitoring Plan. Testing areas will include Fitness and Probity, Outsourcing, Conflicts of Interest, Minimum Competency, Gifts and Entertainment, Remuneration and other ad hoc testing as and when required. The Analyst will have the opportunity to interact with a wide range of business stakeholders in the role and provide compliance feedback and recommendations. The Analyst will present their work at the quarterly compliance monitoring forum to the team and contribute to enhancing the Cantor Fitzgerald investor protection framework on an ongoing basis. In addition, the Compliance Analyst will provide support with respect to tracking and responding to queries from Central Bank of Ireland (CBI).

Skills & Competencies

• Has a "can do" attitude and takes ownership of an issue from start to finish.
• Offers practical advice to the business.
• Uses experience, knowledge, and judgement to influence and deliver upon objectives.
• Builds a sense of teamwork on his or her team and within/between group.
• Strives to improve him/herself and the Firm and actively seeks feedback from peers and management.
• A willingness to grow within the Firm and to take on new responsibilities as required.

Requirements

• Business, Financial, or legal qualification third level qualification preferable.
• Microsoft word, excel and Power Point skills essential.
• Experience of Compliance Monitoring / Assurance Testing preferred.
• ACI qualification or relevant Compliance qualification (or agreement to work towards same).

Please note that under the Central Bank of Ireland's Fitness and Probity Standards, this role is a Control Function 2 (CF2) role - Ensuring, controlling, or monitoring compliance by a regulated financial service provider with its relevant obligations

Responsibilities

• Execute monitoring tasks in line with the Compliance Monitoring Plan.
• Prepare output reports detailing observations, findings, and recommendations for review.
• Issuance of final reports to relevant first line functions and ensure findings are remediated where needed and brought to resolution.
• Present findings and recommendations at the quarterly monitoring meeting.
• Prepare relevant management information for periodic Committee and Board reporting.
• Assist the Senior Manager in review and updating of policies.
• Assist in the delivery of training programme in line with the Compliance Training Plan.
• Provision of support with respect to regulatory engagement with the CBI.
• Co-ordination of Individual Questionnaire (IQ) application process when the firm is seeking prior approval from the CBI for an individual to take up a Pre-Approved Controlled Function (PCF).
• Diary Management and other administrative assistance for the Chief Compliance Officer.
• Maintenance of an action tracker with respect to open tasks for the Compliance team.

Job ID 300000499622231