Role Summary

The Compliance Analyst will report to a Senior Compliance Manager on the Compliance team. They will be responsible for carrying out periodic tests in line with the Compliance monitoring plan. Testing will include key investor protection areas under MIFID II such as Suitability, Appropriateness, Product Governance and Client Categorisation among other areas. The Analyst will have the opportunity to interact with a wide range of business stakeholders in the role and provide compliance feedback and recommendations. The Analyst will present their work to the team at regular compliance monitoring meetings and contribute to enhancing the Cantor Fitzgerald investor protection framework on an ongoing basis. The Analyst will be responsible for reviewing marketing materials and will assist with other Compliance related tasks as required.

Under The Central Bank of Ireland’s (CBI) Individual Accountability Framework (IAF) established under The Central Bank (Individual Accountability Framework) Act 2023 (IAF Act), as an expected Control Function holder, you have a Duty of Responsibility under the CBI Common Conduct Standards. These standards include:

acting with honesty and integrity,
acting with due skill, care and diligence,
co-operating in good faith and without delay with the Central Bank of Ireland
acting in the best interest of customers and treating them fairly and professionally
operating in compliance with standards of market conduct and trading venue rules

Compliance Analyst

Job Description