Compliance Manager

Role Summary:

There is currently a vacant position for a generalist compliance manager within the Compliance Function. This role is suitable for a person ready to step into a managerial role. The Compliance Manager will report to a Senior Manager on the team. This role requires a person who is dynamic, practical and has the ability to get things done. You will work as part of a wider compliance team contributing to the delivery of the annual compliance plan and new business initiatives. 

 

Requirements:

• Previous experience in a MIFID Firm preferable. 
• Funds experience preferable 
• Minimum of 5 years Compliance or Risk experience.
• Understanding of applicable regulations to Cantor Fitzgerald Ireland. 
• Previous experience dealing with the Central Bank of Ireland preferable. 
• Willingness to learn, ambitious and an overall team player. 

Skills

• Must be an effective communicator. 
• Has the ability to provide practical solutions to complex problems. 
• Ability to research and apply applicable regulations to the Firm. 

Qualifications 

• Professional Diploma in Compliance or willingness to complete same over time.
• A Third level qualification (In a discipline such as business/law preferable). 
• Strong IT skills (Microsoft applications – Word, Excel, PowerPoint) are essential.
• Willingness to complete additional qualifications to become a subject matter expert on team.

 

This is a Control Function (CF2) role as per the Central Bank of Ireland Fitness & Probity Standards.

Responsibilities

• Delivery of relevant aspects of the Compliance Framework and Compliance Plan responsibilities as delegated by the Chief Compliance officer/ or Senior Compliance staff. 
• Provide regulatory advice to the first line of defence on an ad hoc basis or via project working groups.
• Deliver training to the business in line with the Compliance teams annual training plan.
• Preparation of periodic reports for the Chief Compliance Officer. 
• Assist Senior Managers in review and update of all relevant policies and procedures. 
• Performing gap analysis on incoming changes to regulation and Dear CEO Letters and communicating changes to the business.
• Working on Central Bank of Ireland requests and inspections with the wider Compliance team and business.
• Proactively identify issues or enhancements and drive change to completion in collaboration with other departments in the business.