Compliance Executive Job In Dublin

Compliance Executive sought to contribute to a fast-growing financial services company in Dublin, with a focus on developing a career in compliance and risk management.

The role offers excellent exposure to someone looking to develop their career further, with a wide-ranging and highly-rewarding position covering various aspects of the company's compliance and risk frameworks.

Responsibilities:

• Contribute effectively to compliance risk assessments and the production of an annual compliance plan.
• Promote and develop consumer protections, with particular reference to product governance, suitability & appropriateness, etc.
• Assist compliance monitoring and oversight reviews, document results and propose enhancements where identified.
• Maintain an acute awareness of legislative developments and regulatory expectations.
• Assist with the identification, interpretation and analysis of existing and upstream legislation impacting the company's business and/or clients.
• Assist with the management of key projects from initiation and planning stages through to execution and completion.
• Support the company with the development, implementation and management of compliance policies and procedures.
• Review and assess compliance breaches and work with the company to remediate and resolve identified issues.
• Assist with the management of external relations, including regulatory bodies and external auditors.
• Support the production and reporting of succinct management information to the Board.
• Contribute to maintaining a risk-aware compliance culture.

Requirements:

• 3+ years experience working in a compliance/regulatory environment with a financial services or consulting firm.
• An understanding and clear appreciation of the importance of the Compliance & Risk function in a financial advisory group.
• An ability to identify key tasks and prioritise effective execution.
• Experience in implementing a risk-based compliance plan.
• Experience in executing and documenting compliance monitoring & oversight reviews.
• A clear, detailed, logical approach with excellent record keeping and the ability to work with little supervision.
• Knowledge of the broader EU regulatory framework, including Mi FID II, CRD, IDR, CMCAR.