Head of Compliance

1 week ago

Dublin, Dublin City, Ireland Phoenix - Your Professional Search Partner Full time

3 days ago Be among the first 25 applicants

Direct message the job poster from Phoenix - Your Professional Search Partner

Senior Principal - Asset Management and Investment Funds

Expression of interest - Head of Compliance & MLRO

We are partnering with a disruptive, tech-led investment platform that has redefined access to the financial markets and is now seeking an experienced Compliance Leader as part of its new Irish expansion.

The Role:

This is a senior leadership position responsible for directing the compliance agenda within a regulated investment firm. The successful candidate will ensure regulatory alignment across all areas of the business, contribute to strategic risk decisions, and lead interactions with supervisory bodies.

Responsibilities:

  • Lead the firm's compliance activities and oversee adherence to regulatory frameworks across Ireland and international jurisdictions.
  • Manage all matters related to AML/CTF, sanctions screening, and client onboarding reviews.
  • Oversee surveillance relating to market conduct and trading activity.
  • Take the lead in preparing and maintaining regulatory policies and procedures.
  • Provide compliance input into new business initiatives, product launches, and client propositions.
  • Develop and implement a risk-based compliance monitoring plan, with regular reporting to senior management.
  • Act as the primary point of contact for regulators and manage regulatory inspections or responses.

Suitability:

  • Minimum 10 years in compliance, ideally in a MiFID-regulated environment, with prior PCF-12/52 approval.
  • Product knowledge and prior experience of equities / CFD's.
  • Experience with trading platforms, execution venues, or algorithmic trading controls.
  • Deep understanding of key European regulatory frameworks including MAR, MiFID II, IFD/IFR.
  • Background in handling regulatory queries, reviews, and reporting with the Central Bank of Ireland (CBI)
  • Skilled in drafting internal policies, advising senior stakeholders, and training staff on regulatory change.
  • Strong academic background (e.g. degree within a relevant field, e.g. Law, Business, Economics).

For a confidential discussion on this role, please get in contact via email rory@phoenixsearch.com

Seniority level
  • Seniority levelDirector
Employment type
  • Employment typeFull-time
Job function
  • Job functionFinance, Information Technology, and Product Management
  • IndustriesTechnology, Information and Media, Financial Services, and Business Consulting and Services

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