Compliance Officer jobs in Dublin
Because of the nature of the work, compliance officers traditionally come from a legal or finance background, with associated degrees. The sector is getting increasingly competitive, as being a compliance officer is seen as an attractive career, but individuals in compliance can still hail from diverse backgrounds as regulatory departments are more and more seeking complimentary technology and data skills.
Being a compliance officer can be a demanding job and it can be tough to keep on top of regulatory or legal changes in the financial services sector. The ability to stay on top of things and to manage people well are hallmarks of a good compliance officer. They need to be there for the front office staff, but also for the C-Suite, especially when operating as a Chief Compliance Officer, General Counsel or Chief Operating Officer.
Main Key Duties
While a Compliance Officer’s key duties might change from one type of firm to another, its core responsibilities will usually include, but not be limited to, the following:
Fostering an ethical culture at the firm
Avoiding fines and other penalties from the regulating body (FCA in the UK, SEC in the US)
Creating, monitoring and reporting on internal policies and processes: IT, Strategy, OH&S (Occupational, Health & Safety), KYC (Know Your Customer), PEP (Politically Exposed Person) and Sanctions
Legal research and anticipating future changes
Leveraging future changes in regulation
Reviewing marketing material and disclaimers
Training sessions to staff
Answering “can we do X?” questions from the C-Suite and front office
Conducting internal audits
Assisting with disciplinary proceedings
Reporting to the regulator
Making sure that advice considers business objectives
Prepare and file regulatory reports with the FCA
Main Required Skills
Broader Business Acumen (Product & Technology knowledge)
Interpersonal skills and communication
Problem solving
Attention to detail
Niche candidates and subject matter experts
Latest jobs in Compliance
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about 2 hours ago
Senior Guideline Monitoring Officer
London
Our ClientOur client, a leading British asset manager, is looking for a Senior Guideline Monitoring Professional to join their London te...
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about 19 hours ago
Compliance Associate
New York
Our ClientOur client, a rapidly-growing New York based private equity fund, is currently seeking a Governance and Marketing Associate fo...
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1 day ago
Director of Risk and Compliance
London
£150,000
Our ClientOur client, a fintech, is currently looking for a Director of Risk and Compliance to lead the compliance and risk function for...
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2 days ago
Compliance Analyst
London
Our ClientOur client, a US hedge fund circa $40bn AuM, is currently seeking a Compliance Analyst to join its London office. The successf...
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3 days ago
EMEA Chief Compliance Officer
London
Our ClientOur client, a fast-growing multi-strategy investment firm, is currently looking for an EMEA Chief Compliance Officer to help b...
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6 days ago
Compliance Officer
New York
Our ClientOur client, a global asset manager, is currently seeking a Compliance Officer for its New York office. The firm's strategies s...
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6 days ago
Associate Recruitment Consultant
London
Rutherford is currently looking to hire experienced Associate Recruitment Consultant to support the continued growth of its numerous des...
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6 days ago
Compliance Manager
London
£70,000
Our ClientOur client, a fast-growing insurtech, is currently looking for a Compliance Manager for their London office. This role reports ...
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6 days ago
Compliance Director
London
£120,000
Our ClientOur client, a leading law firm, is growing its new regulatory consulting arm and has a key vacancy for a dynamic Compliance Di...
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6 days ago
Compliance Officer
New York
Our ClientOur client, a leading multi-strategy hedge fund, is looking for a Compliance Officer in their global compliance team. This is ...