Compliance Manager

About the Role

We are seeking a Compliance Manager to join our Compliance Function in Dublin. This position reports to the Deputy Head of Compliance and is ideal for an individual prepared to take on managerial responsibilities. The successful candidate will be energetic, practical, and results-oriented, collaborating within a larger compliance team to support the annual compliance plan and new business projects.

Regulatory Framework & Conduct Standards

Under the Central Bank of Ireland's Individual Accountability Framework (IAF) established by the 2023 IAF Act, as a designated Control Function Holder, the Compliance Manager must adhere to the CBI's Common Conduct Standards which include:

• Upholding honesty and integrity
• Exercising due skill, care, and diligence
• Cooperating promptly and in good faith with the Central Bank of Ireland
• Acting in customers' best interests and ensuring fair, professional treatment
• Complying with market conduct principles and trading venue regulations

Key Duties and Responsibilities

• Implement assigned elements of the Compliance Framework and Monitoring Plan as delegated by senior compliance leadership
• Offer regulatory guidance to the first line of defense both on a case-by-case basis and within project groups
• Provide training aligned with the Compliance annual training curriculum
• Compile periodic compliance reports for the Chief Compliance Officer
• Support senior management in revising and updating policies and procedures
• Conduct gap analyses of new regulations and Dear CEO letters, communicating necessary changes to business units
• Coordinate responses to Central Bank of Ireland inquiries and inspections alongside compliance colleagues and business units
• Identify potential issues or areas for improvement proactively and lead change initiatives in partnership with other departments

Qualifications and Experience

• Minimum five years’ experience in Compliance or Risk, preferably within a MiFID-regulated firm
• Relevant professional certification and membership in a recognized professional body
• Solid understanding of regulations applicable to Cantor Fitzgerald Ireland
• Experience engaging with the Central Bank of Ireland is an advantage
• Willingness to learn, ambition, and being a collaborative team player

Skills and Competencies

• Strong communication skills with the ability to convey regulatory matters effectively
• Capability to offer practical resolutions for complex compliance issues
• Keen attention to detail
• Research skills to interpret and apply relevant regulations to the firm
• Proficiency in Microsoft Word, Excel, and PowerPoint

Educational Requirements

• Professional Diploma in Compliance or readiness to pursue this qualification
• Third-level degree in business, law, or related discipline preferred
• Commitment to obtaining additional qualifications to become a subject matter expert

Additional Information

This position represents a Control Function (CF2) role under the Central Bank of Ireland’s Fitness & Probity Standards.