Compliance Analyst

Role Overview

The Compliance Analyst position, located in Dublin, Ireland, is a full-time permanent role reporting directly to the Senior Compliance Manager. Key duties involve conducting scheduled compliance testing aligned with the Compliance Monitoring Plan, focusing on critical investor protection aspects under MIFID II, including Suitability, Appropriateness, Product Governance, and Client Categorisation. This role offers the opportunity to collaborate broadly with business stakeholders, provide compliance insights, and enhance the investor protection framework at Cantor Fitzgerald.

Regulatory Responsibilities

Under the Central Bank of Ireland's Individual Accountability Framework (IAF) Act 2023, the Compliance Analyst serves as a Control Function 2 (CF2) role holder and must uphold the Duty of Responsibility according to the CBI Common Conduct Standards. These standards require acting with honesty and integrity, exercising due care and skill, cooperating promptly with the Central Bank, prioritizing customer interests professionally and fairly, and complying with market conduct standards and trading venue regulations.

Key Duties

• Carry out compliance monitoring activities specified by the Monitoring Plan.
• Compile and submit detailed reports of findings and recommendations for Senior Manager review.
• Issue final reports to first line functions and ensure proper remediation of identified issues.
• Present compliance results and recommendations in monitoring meetings.
• Prepare management information for periodic reporting to Committees and the Board.
• Support updates and reviews of compliance policies and procedures.
• Contribute to the delivery of compliance training programs for frontline staff.
• Assist in preparing regulatory submissions to the Central Bank of Ireland.
• Review marketing materials generated by business units for regulatory compliance.
• Perform other compliance-related duties as needed.

Skills and Competencies

• Demonstrates a proactive, solution-oriented approach, taking accountability from start to finish.
• Provides practical and effective guidance to business units leveraging experience and sound judgment.
• Collaborates effectively within and across teams to promote a strong sense of teamwork.
• Pursues personal and organizational improvement actively, seeking and integrating feedback.
• Exhibits eagerness to develop professionally and embrace additional responsibilities.

Qualifications and Experience

• Preferred possession of a third-level qualification.
• Proficient in Microsoft Office, particularly advanced Excel skills.
• Previous experience in the financial services sector.
• Background in compliance monitoring or assurance testing is desirable.
• Hold or be willing to work towards the LCI qualification.