Job Title :Compliance Manager, Dublin


Our client is a leading financial services provider, specialising in wealth management, asset management, capital markets and financial advisory services.

An opportunity has arisen within the Compliance department for a Manager to join the team.


The Role:

  • Manage the implementation of new regulatory requirements and ensure the ongoing implementation of existing requirements, for connected businesses, including the ongoing monitoring of same;
  • Provide ongoing regulatory advice on all aspects of these businesses, including: investment platforms; pricing and remuneration arrangements; and the design, implementation and approval of new investment and pension products;
  • Work closely with these businesses in the drafting of materials for external publication and provide a comprehensive review and approval of all promotional materials;
  • Work closely with senior managers or Head of Regulation & Compliance on significant business projects;
  • Liaise with regulators to address regulatory queries and engage with them on regular inspection visits;
  • Provide training to staff on compliance related topics;
  • Carry out monitoring functions as required;
  • Manage and support other team members.


The Person: 

  • Relevant 3rd level Degree or Masters in Business, Finance, Economics, Law or a related discipline;
  • A relevant Compliance and/or Legal qualification;
  • Substantial experience of compliance implementation, ideally in a complex business environment;
  • Knowledge of MiFID and related ESMA requirements, the CPC and the IIA;
  • Some knowledge of pensions and taxation legislation would be helpful;
  • A strong working knowledge of investment products, channels to market, investment platforms and of property transactions;
  • A confident approach and an ability to communicate with a range of people including regulators, legal advisors and senior management within the business;
  • A team player that can react positively to very demanding challenges and tight deadlines with no loss of accuracy;
  • A commitment to quality and attention to detail is extremely important in this role.

Interested applicants should contact Mared Roberts in strict confidence on +353 1 6087713 or send your CV to Absolute discretion is assured.


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