Job Description & How to Apply Below
Position: Compliance Assistant - Dublin
About the Employer:
Our client, one of Ireland’s leading financial advisory firms is looking for a Compliance Assistant to join their growing team
Annual leave between 20-25 days
Pension subject to a waiting period
The Successful Candidate:
Will possess a good knowledge of regulation and compliance issues that may affect the business
Will have a knowledge and experience of financial services processes
Possess an ability to pay strong attention to detail
Will be able to plan and organize
Will be flexible and adaptable in their approach to their work when required
Excellent computer skills (CRM, Word, Outlook, and Excel)
Must have an LCOI qualification or be willing to pursue the LCOI Qualification
As a Compliance Assistant your duties & responsibilities will include:
To monitor transactions for compliance
Attend meetings with the firm’s advisors to discuss results of monitoring
Monitor the firm’s compliance with AML guidelines at trigger events
Monitor clients designated as PEP’s.
Assist with the maintenance of the register of Accredited Persons and the record of persons who are performing a controlled function or a Pre-approved controlled function.
Monitoring of Accredited persons CPD log
Review all issued Certificates of Competency to ensure are accurate and up to date
Ensure that the Declaration of Fitness and Probity is completed for new roles and also carry out additional due diligence required.
Monitoring the supervision of new entrants by supervisors
Review and test the firm’s policies and procedures
Assisting the firm with complaints and monitoring complaint correspondence;
Representing the Compliance Department on the Team Leaders Committee and other committees depending on experience;
Assisting with CBI filing and ensuring deadlines are met;
Assisting with the compliance monitoring plan and reports to the Board;
Monitoring compliance with the data protection requirements, clear desk policy, and information security policy;
Assisting with the data retention and disposal project in compliance with the firm’s records management policy;
Signing off on marketing material, external documentation and on share purchases by directors;
Reviewing new legislation and updating the firm’s policies and procedures;
Assisting with the introduction of new and amended compliance obligations;
Assisting with the induction and annual training program for the firm with respect to AML, DP, ethics, conflicts of interest, market abuse, suitability, personal transactions, etc.;
Providing support to various areas within the firm.
For further information or if you wish to apply for the position of Compliance Assistant, please send your CV in word format to (Please contact us using the "Apply for this Job Posting" box below)
Less than 1 Year
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