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Compliance Assistant

Job in Dublin - Ireland
Other locations:
Dublin
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Company: Achievers Resource Solutions
Full Time position
Listed on 2019-09-18
Job specializations:
  • Law/Legal
    Law Clerk
  • Finance
    Financial Manager, Financial Services, Finance Graduate
Job Description & How to Apply Below
Position: Compliance Assistant - Dublin

Compliance Assistant

About the Employer:

Our client, one of Ireland’s leading financial advisory firms is looking for a Compliance Assistant to join their growing team

Benefits:

  •  Annual leave between 20-25 days
  • Competetive Salary
  •  Great location
  •  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)

    Position Requirements
    Less than 1 Year work experience
    Note that applications are not being accepted from your jurisdiction for this job currently via this jobsite. Candidate preferences are the decision of the Employer or Recruiting Agent, and are controlled by them alone.
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