Compliance Analyst

Millennium; Dublin; On-site; EUR 50,000 - 70,000; Full time

Job summary

A financial services firm in Dublin, Ireland is seeking a Compliance Analyst for its Compliance Department. This role involves conducting email reviews, supporting compliance projects, and ensuring adherence to regulatory standards. Candidates should have a Bachelor's degree, a minimum of 3 years of experience in a compliance role, and excellent analytical and interpersonal skills. Preferred qualifications include familiarity with financial regulations and proficiency in Microsoft Office tools.

Qualifications

• Minimum of 3 years of experience in a compliance role.
• Experience at a Registered Investment Adviser or Broker-Dealer is preferred.
• Familiarity with regulatory agencies and key regulations.

Responsibilities

• Conduct email communication reviews for trading groups.
• Prepare memos summarizing findings from email surveillance.
• Assist in developing policies reflecting changes in business and regulations.
• Stay updated with regulatory developments.
• Participate in compliance-related projects.

Skills

Team player

Analytical skills

Interpersonal skills

Proficiency in Microsoft Excel

Proficiency in Microsoft Word

Proficiency in Microsoft PowerPoint

Education

Bachelor’s degree in Business, Finance, Economics or related field

Tools

Technological applications and tools

Job description

Job Title: Compliance Analyst
Department: Compliance
Location: Dublin, Ireland

The Firm is seeking a Compliance Analyst to join our Compliance Department in the Dublin, Ireland office. The successful candidate will be responsible for conducting email reviews of trading groups and supporting various compliance projects. This role is critical to ensure the effectiveness, scalability, and robustness of the firm’s email monitoring program.

Key Responsibilities

• Conduct email communication reviews for trading groups and perform searches related to internal investigations.
• Prepare weekly and monthly memos summarizing findings from email surveillance reviews.
• Assist in the development and enhancement of policies and procedures to reflect changes in business, regulations, and emerging compliance issues.
• Stay up to date with relevant regulatory developments and changes.
• Participate in other compliance-related projects as needed.

Qualifications And Skills

• Bachelor’s degree (preferably in Business, Finance, Economics, or a related field) with at least 3 years of experience.
• Prior experience in a compliance role at a Registered Investment Adviser (RIA) or Broker-Dealer is preferred.
• Strong understanding of regulatory and self-regulatory agencies (e.g., Central Bank of Ireland, FCA, SEC, CFTC, MAS) and familiarity with key regulations such as the Investment Advisers Act of 1940, Securities Act of 1933, and Financial Services and Markets Act 2000 (FSMA).
• Excellent team player with the ability to prioritize tasks in a fast-paced, high-pressure, and constantly evolving environment.
• Entrepreneurial mindset with the ability to work independently and manage projects effectively.
• Strong interpersonal skills with the ability to collaborate across departments and build effective working relationships.
• Exceptional writing, analytical, and problem-solving skills.
• Proficiency with various technological applications and tools.
• Broad knowledge of financial products and the financial services industry is a plus.
• Experience with Microsoft Excel, Word, and PowerPoint.