Head of Compliance, Ireland

3 weeks ago

Dublin, Dublin City, Ireland Vanguard Full time

As the Designated Person for the Regulatory Compliance managerial function of the Firm, the Head of Compliance for the Irish entities will have responsibility for developing, approving, and managing a Compliance Strategy to ensure the firm's, funds', and crew's adherence to Irish and other regulatory obligations.

Duties & Responsibilities

  • Manage the Compliance Function, overseeing crew recruitment, training, and performance management. Liaise with internal functions and participate in budget development. Ensure compliance policies and procedures are designed, maintained, and reviewed annually.
  • Oversee fund activities for Irish funds, including monitoring external service providers such as transfer agents, fund accountants, custodians, investment advisers, and other support functions. Conduct on-site visits as needed.
  • Provide oversight of the regulated activities of the European branches of VGIL, ensuring operations stay within regulatory permissions.
  • Establish daily oversight frameworks for compliance, including monitoring regulatory developments, crew induction and training, breach management, marketing activities, and maintaining compliance registers.
  • Offer regulatory guidance on Irish product creation, maintenance, and assessment.
  • Supervise the compliance monitoring team to ensure second-line testing aligns with regulatory expectations.
  • Monitor compliance logs related to breaches, pricing errors, complaints, and payments, ensuring readiness for inspection by the Central Bank of Ireland (CBI).
  • Serve as the primary contact for CBI interactions, coordinate information requests, and ensure timely regulatory reporting via the CBI Portal.
  • Report regularly to the Boards of Irish companies, the European Risk Committee, and the International Chief Compliance Officer.
  • Hire, evaluate, and supervise compliance staff; provide guidance and training; set performance standards and make compensation decisions.
  • Participate in special projects and other duties as assigned, contributing to group-wide initiatives.

Qualifications

  • Extensive Irish financial services compliance experience, preferably within fund management.
  • Knowledge of UK and/or US regulatory environments is advantageous.
  • Experience with UCITS Fund regulations and conduct of business/distribution rules.
  • Proficiency in Microsoft Office applications.
  • Undergraduate degree or equivalent experience and training.

Special Factors

  • Vanguard does not offer visa sponsorship for this position.
  • This is a Designated Person role.

How We Work

Vanguard employs a hybrid working model to balance flexibility with in-person collaboration, supporting our mission-driven culture and long-term client outcomes.

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