Cantor Fitzgerald Ireland is part of leading global financial services firm Cantor Fitzgerald. We specialise in equities, Investment Banking, Real Estate, Fixed Income and Currencies. An exciting opportunity has arisen for a Compliance Analyst to work with our team in Dublin.
Role SummaryThe Compliance Analyst will report to the Senior Compliance Manager on the Core Compliance Team. They will be responsible for conducting periodic testing in line with the Compliance Monitoring Plan, including Fitness and Probity, Outsourcing, Conflicts of Interest, Minimum Competency, Gifts and Entertainment, Remuneration, and other ad hoc testing as required. The Analyst will interact with a wide range of business stakeholders and provide compliance feedback and recommendations. They will present their work at the quarterly compliance monitoring forum and contribute to enhancing the Cantor Fitzgerald investor protection framework. Additionally, the Compliance Analyst will support tracking and responding to queries from the Central Bank of Ireland (CBI).
Key ResponsibilitiesExecute monitoring tasks in line with the Compliance Monitoring Plan.Prepare output reports detailing observations, findings, and recommendations for review.Issue final reports to relevant first line functions and ensure findings are remediated.Present findings and recommendations at the quarterly monitoring meeting.Prepare relevant management information for periodic Committee and Board reporting.Assist the Senior Manager in reviewing and updating policies.Assist in the delivery of the training programme in line with the Compliance Training Plan.Provide support with respect to regulatory engagement with the CBI.Coordinate Individual Questionnaire (IQ) application process for prior approval from the CBI for individuals in Pre-Approved Controlled Functions (PCF).Manage diary and provide administrative assistance for the Chief Compliance Officer.Maintain an action tracker for open tasks for the Compliance team.Demonstrate a "can do" attitude and take ownership of issues.Offer practical advice to the business.Utilize experience, knowledge, and judgement to influence and deliver on objectives.Build a sense of teamwork within the group.Strive for personal and firm improvement and actively seek feedback.Show willingness to grow within the Firm and take on new responsibilities.RequirementsBusiness, Financial, or legal qualification; third level qualification preferable.Proficiency in Microsoft Word, Excel, and PowerPoint.Experience in Compliance Monitoring / Assurance Testing preferred.ACI qualification or relevant Compliance qualification (or agreement to work towards same).Please note that under the Central Bank of Ireland's Fitness and Probity Standards, this role is a Control Function 2 (CF2) role – Ensuring, controlling, or monitoring compliance by a regulated financial service provider with its relevant obligations.
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