Compliance Officer

at  Global Shares

Clonakilty, County Cork, Ireland - 00000

Start DateExpiry DateSalaryPosted OnExperienceSkillsTelecommuteSponsor Visa
Immediate27 Dec, 2020Not Specified28 Sep, 20201 year(s) or aboveGood communication skillsNoNo
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Description:

WHO WE ARE:

We are a leading provider of equity compensation management solutions, offering stock plan administration software, expert support services and integrated financial reporting tools to corporate clients and their employees worldwide. Hundreds of companies, from startups to large enterprises, are choosing this Global Shares solutions and software over traditional solutions.

Responsibilities:

  • Advise the Global Shares business on compliance matters related to regulated activities;
  • Manage responses to regulatory questionnaires and ad-hoc enquires;
  • Oversee the compliance monitoring and testing schedule in different jurisdictions and review and evaluate the monitoring process to ensure its effectiveness;
  • Maintain an appropriate compliance policy suite, embed into the organisation and provide training where required;
  • Assist in the complaints review and reporting to the regulator and board;
  • Manage beaches and incidents and support management, the boards in evaluating the incidents and provide support for regulatory reporting;
  • Support internal audit reviews and reporting to the board and assist in embedding a three lines of defence in the organisation;
  • Assist in conflict of interest review, market conduct/market abuse monitoring and best execution monitoring.
  • Advise on the client asset framework and assist in any incidents relating to client assets;
  • Assist the Data Protection Officer in data protection matters relating to policies, data incidents and breaches and the data protection framework implementation;
  • Provide support to the AML framework design and implementation;
  • Advise on MiFID rules and requirements and ESMA and local regulatory client circulars;
  • Provide support to operational procedures implementation and advise on implementation in adherence to policy, regulation and internal organisational rules;
  • Track and monitor regulatory change, undertake horizon scanning and work with the in-house legal team to support regulatory change;
  • Advise on regulatory reporting such as MiFID transaction reporting;
  • Review and monitor GS marketing materials and sales activities to ensure compliance;
  • Provide compliance induction training and deliver compliance training to meet the organisational needs;
  • Ability to identify risk, assess and support the risk management framework and committee in ensuring risks are appropriately managed;
  • Build and maintain database of compliance knowledge database;


REQUIREMENT SUMMARY

Min:1.0Max:2.0 year(s)

Financial Services

Accounts / Finance / Tax / CS / Audit

Finance

Graduate

Proficient

1

Clonakilty, County Cork, Ireland