Compliance Manager

Cantor Fitzgerald Ireland Ltd; Dublin; On-site; EUR 85,000 - 120,000; Full time

Job summary

Cantor Fitzgerald Ireland Ltd in Dublin is seeking a Compliance Manager to join the Compliance Function and step into a managerial role. The role reports to the Deputy Head of Compliance and drives delivery of the annual compliance plan and new business initiatives.

Under the Central Bank of Ireland's IA Framework, the role requires practical leadership, regulatory insight and the ability to work with the broader compliance team to ensure robust controls and engagement with internal and external

Qualifications

• Must have prior experience in a MIFID firm or similar.
• Minimum of 5 years in compliance or risk.
• Understanding of regulations relevant to the firm.
• Willingness to learn and be a team player.

Responsibilities

• Deliver key aspects of the compliance framework and monitoring plan.
• Provide regulatory advice to first line of defence.
• Deliver annual compliance training to the business.
• Prepare periodic reports for the Chief Compliance Officer.
• Assist senior managers with policy updates.
• Conduct gap analysis on regulation changes and Dear CEO Letters.
• Coordinate with the Central Bank of Ireland on requests and inspections.
• Identify issues and drive change across departments.

Skills

Effective communicator

Practical problem solving

Attention to detail

Regulatory research skills

Education

Professional compliance qualification

Third level degree in business or law

Tools

MS Office

Job description

Job Description

There is currently a vacant position for a 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 the Deputy Head of Compliance 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.

Job Description

There is currently a vacant position for a 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 the Deputy Head of Compliance 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.
Under The Central Bank Of Ireland’s (CBI) Individual Accountability Framework (IAF) Established Under The Central Bank (Individual Accountability Framework) Act 2023 (IAF Act), As An Expected Control Function Holder, You Have a Duty Of Responsibility Under The CBI Common Conduct Standards. These Standards Include

• acting with honesty and integrity


• acting with due skill, care and diligence


• co-operating in good faith and without delay with the Central Bank of Ireland


• acting in the best interest of customers and treating them fairly and professionally


• operating in compliance with standards of market conduct and trading venue rules

Responsibilities

• Delivery of relevant aspects of the Compliance Framework and Compliance Monitoring 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 annual training plan.


• Preparation of periodic reports for the Chief Compliance Officer.


• Assist Senior Managers in review and update of 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.

RESPONSIBILITIES

• Delivery of relevant aspects of the Compliance Framework and Compliance Monitoring 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 annual training plan.


• Preparation of periodic reports for the Chief Compliance Officer.


• Assist Senior Managers in review and update of 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.

Requirements

• Previous experience in a MIFID Firm preferable.


• Minimum of 5 years Compliance or Risk experience.


• Hold relevant qualification and membership of professional body as applicable


• 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.

QUALIFICATIONS

• Previous experience in a MIFID Firm preferable.


• Minimum of 5 years Compliance or Risk experience.


• Hold relevant qualification and membership of professional body as applicable


• 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.


• Excellent attention to detail.


• 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 or 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.