Compliance Manager – Dublin

Cantor Fitzgerald Ireland Ltd; Dublin; On-site; EUR 90,000 - 120,000; Full time

Job summary

Cantor Fitzgerald Ireland Ltd in Ireland seeks a Compliance Manager to lead delivery of the Compliance Framework and Monitoring Plan, provide regulatory advice, train staff, and prepare reporting for the Chief Compliance Officer. The role involves liaising with the Central Bank of Ireland and driving regulatory change within a dynamic team.

Qualifications

• Professional Diploma in Compliance or equivalent.
• A third level qualification in business or law is preferred.
• Strong IT skills with MS Office suite are essential.

Responsibilities

• Deliver the Compliance Framework and 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 groups.
• Deliver training to the business in line with the annual compliance training plan.
• Prepare periodic reports for the Chief Compliance Officer.
• Assist Senior Managers in updating relevant policies and procedures.
• Perform gap analysis on changes to regulation and Dear CEO Letters and communicate changes to the business.
• Collaborate with other departments to drive change and respond to Central Bank requests and inspections.

Skills

Effective communicator

Practical problem solving

Attention to detail

Regulatory research

Education

Professional Diploma in Compliance

Third level qualification in business or law

Tools

MS Office (Word, Excel, PowerPoint)

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.

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

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 & ProbityStandards.