Banner Default Image
Back to job search

Regulatory Director (PCF12 & 14) - Part Time

  • Location:

    Dublin

  • Sector:

    Financial Services

  • Job type:

    Permanent

  • Salary:

    €100000 - €125000.00 per annum + Pension, annual bonus, private health

  • Contact:

    James O'Donnell

  • Contact email:

    jamesod@phoenixsearch.com

  • Job ref:

    BBBH3540_1701169242

  • Published:

    3 months ago

  • Expiry date:

    2023-12-10


The Company: A successful and well-established, MiFID-regulated investment management firm based in Dublin. Operating for over 20 years they have an enviable reputation for providing a flexible and supportive working culture, focusing on personal growth and a strong collegiate environment.

Role Overview: As the Regulatory Director, working 4 days per week (flexibly), you will report directly to the Board (with a dotted line to the Managing Director), and your primary responsibility will be to oversee and manage compliance and risk matters within the firm. This role offers a unique opportunity to make a significant impact and contribute to the firm's ongoing growth.

Key Responsibilities:

  • Compliance Leadership: Take overall responsibility for the firm's compliance and risk oversight. Hold PCF12 and 14 positions.
  • Play a role as a key member of the executive management team, advising the Board on all regulatory matters.
  • Provide input on strategy and assessment of strategy in the context of regulatory and risk framework.
  • Regulatory Oversight: Manage the company's compliance and regulatory responsibilities, including liaising with the Central Bank of Ireland, completing regulatory returns, and maintaining compliance records.
  • Compliance Culture: Promote a compliance culture within the firm by regularly maintaining procedures, monitoring firm activities, and providing training on compliance requirements.
  • Risk Management: Take charge of identifying, assessing, and rectifying compliance issues, as well as advising and assisting the business in compliance matters.
  • Communication: Ensure effective communication with the Board and Management Team regarding risk management and compliance requirements.
  • Regulatory Expertise: Stay up-to-date with new regulatory requirements and work with the business to implement necessary procedures and controls.



About You:


To be considered for this role, you should possess the following qualifications, skills, and experience:

  • Formal Qualifications: Hold formal qualifications related to financial services compliance and/or relevant qualifications such as ACOI, Diploma in Financial Services Law, ACA, Solicitor, or QFA.
  • Extensive Experience: Demonstrate extensive previous experience within a compliance and risk role, ideally within the financial services industry, with a preference for experience in wealth management or investment firms.
  • Legislative Knowledge: Exhibit detailed knowledge of Irish/EU legislation relevant to the firm, including MIFID II, CRD, AML, and GDPR.
  • Strong Communication: Display strong communication skills and the ability to effectively engage with Regulators, Staff, Senior Management, and the Board.
  • Regulatory Expertise: Possess a deep understanding of MiFID regulations and Central Bank of Ireland requirements.
  • Analytical Skills: Showcase exceptional analytical, communication, and problem-solving skills.
  • Independent Thinker: Prove your ability to work independently, make informed decisions, and influence stakeholders at all levels within the organisation.
  • Compliance Advocate: Have a proven track record of promoting a culture of compliance and implementing effective compliance programs.



What's on offer: 4-day-per-week working schedule (in a flexible pattern that suits you and the firm), excellent salary and benefits package, plus the chance to work for a successful firm, in an open and supportive culture.