Compliance Officer – MiFID/Client Assets (SVP)

Job Listing No: 9740000

Compliance Officer – MiFID/Client Assets (SVP)

Dublin – Compliance with client asset rules and maintenance of CEP’s procedures in this area; Transaction Reporting; and MiFID II developments. Client Assets Provide expert Compliance advisory and oversight services to businesses, functions, key stakeholders and other relevant parties in relation to UK CASS requirements and Irish MiFID related client asset requirements. Key areas of emphasis include: Ensuring CEP’s policies underpin compliance with MiFID and UK CASS client asset requirements; Support CEP’s client assets governance fora; and Support the preparation and analysis of the CEP client asset reporting for governance purposes.. Investor Monies Provide expert Compliance advisory services to businesses, functions, key stakeholders and other relevant parties in relation to investor money requirements as set out in the Irish Investor Money Regulations. Governance Participate in all relevant governance forums and assist with the preparation of related reports/materials. … – Permanent – Full-time

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