Compliance Analyst

Compliance Analyst - Surveillance

A leading financial services organisation in Dublin is seeking a Compliance Analyst to join their dedicated Compliance Department.

• Join a well-established financial services organisation in Dublin with a strong reputation for nurturing talent and providing comprehensive training opportunities.
• Play a key role in maintaining regulatory standards by conducting email reviews, supporting investigations, and enhancing compliance policies within a supportive team environment.

What you'll do:

• Conduct thorough reviews of email communications for trading groups, ensuring all correspondence adheres to regulatory requirements and internal standards.
• Perform detailed searches related to internal investigations, collaborating closely with colleagues across departments to gather relevant information.
• Prepare comprehensive weekly and monthly memos summarising findings from email surveillance reviews, presenting clear insights to senior management.
• Assist in the development and enhancement of compliance policies and procedures, adapting them to reflect changes in business operations, regulations, and emerging issues.
• Stay up-to-date with relevant regulatory developments and changes, proactively sharing knowledge with the wider team to ensure collective understanding.
• Participate actively in other compliance-related projects as needed, demonstrating flexibility and willingness to support organisational goals.
• Work collaboratively with colleagues across departments to build effective working relationships that facilitate smooth project delivery.
• Utilise technological applications and tools efficiently to streamline compliance processes and improve overall department productivity.
• Contribute positively to a culture of continuous improvement by identifying areas for process optimisation within the compliance function.

What you bring:

• Bachelor’s degree (preferably in Business, Finance, Economics or related field) with at least three years’ experience in compliance roles within financial services.
• Prior experience at a Registered Investment Adviser or Broker-Dealer is highly desirable for this position.
• Strong understanding of regulatory agencies such as Central Bank of Ireland, FCA, SEC, CFTC, MAS along with familiarity with key regulations including Investment Advisers Act 1940, Securities Act 1933, Financial Services and Markets Act 2000 (FSMA).
• Excellent team player who thrives on co-operation and collaboration within diverse groups.
• Ability to prioritise tasks effectively in environments characterised by constant change and evolving demands.
• Entrepreneurial mindset combined with proven ability to manage projects independently while remaining responsive to team needs.
• Exceptional writing skills paired with analytical abilities that enable you to produce clear reports and solve complex problems.
• Proficiency with Microsoft Excel, Word, PowerPoint as well as other technological applications relevant to compliance work.
• Broad knowledge of financial products and the wider financial services industry is considered advantageous for this role.
• Strong interpersonal skills enabling you to build dependable relationships across departments.

Robert Walters Operations Limited is an employment business and employment agency and welcomes applications from all candidates