Compliance Advisor - MiFID

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flag_no United Kingdom
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Reporting to the Head of Compliance, the successful candidate will be working within the Compliance team providing advice to the Wealth & Investment business, a MiFID authorised investment firm which provides portfolio management, stockbroking, retirement and financial planning services to individual and corporate investors.

The role will involve significant interaction with Front Office teams and other support units in Ireland and within the Group, Internal Audit and potentially with Regulators.

Roles and Responsibilities

  • To provide advice and guidance to staff in relation to compliance matters
  • Review of new legislation & analysis of impact on the business
  • Involvement in any projects that require regulatory/compliance input
  • Main areas of focus include MiFID, Consumer Protection Code, Client Asset Requirements, Anti-Money Laundering Requirements, Market Abuse, Best Execution, assistance with complaints handling
  • Assist with developing and providing staff training
  • Oversight of monitoring carried out by compliance monitoring assistant in relation to portfolio & suitability monitoring
  • To review advertising and research material to ensure compliance with regulations
  • Support the Head of Compliance and the compliance team as required.

Knowledge and Skills

  • Min 5 years' experience in a compliance role
  • A legal, professional or business 3rd level qualification
  • A good knowledge of MiFID and the Consumer Protection Code.

The Person

  • Ability to interpret regulatory and legislative requirements
  • Good time management skills, and respond to queries in a timely manner
  • An ability to work on own initiative is a priority
  • Natural team player, comfortable working closely in a team environment
  • Good interpersonal and communication skills
  • Multi-tasking and ability to manage a number of requests or priorities simultaneously.
  • Ability to work well under pressure