Senior Associate Director, Regulatory Compliance

2 weeks ago

Dublin, Dublin City, Ireland MUFG Investor Services Full time
Senior Associate Director, Regulatory ComplianceSenior Associate Director, Regulatory Compliance

3 days ago Be among the first 25 applicants

Experience something Brilliantly Different with a career at MUFG Investor Services.

Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing.

We're in 17 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.

Experience something Brilliantly Different with a career at MUFG Investor Services.

Who are we? In a nutshell, MUFG Investor Services is part of the Mitsubishi UFJ Financial Group, and we partner with over 480 loyal global investment firms to provide them with administration, asset services, banking and fund financing.

We're in 17 global locations and provide an exceptional hub of Brilliantly Different talent to thrive.

Job Description

We are seeking a proactive and detail-oriented professional to join our Regulatory Compliance team in Dublin. This role requires a high degree of independence and deep regulatory expertise in fund administration, with a strong knowledge of Investment Firms Regulations ("IFR") and MiFID II and other applicable EU regulatory frameworks.

The candidate will play a critical role in conducting regulatory impact assessments for new products, services, and service locations, and will support licensing reviews across multiple jurisdictions.

Areas you will manage include:

  • Management and monitoring of relevant regulatory changes and developments in Ireland/EU and engage with stakeholders and impacted parties. Monitor and interpret evolving financial regulations, particularly under MiFID II, UCITS, AIFMD, and other applicable EU frameworks.
  • Research the regulatory requirements and report on the potential impact thereof to the Company's licenses, business or services assessing local legal frameworks, distribution rules, and operational implications.
  • Lead the regulatory impact assessment process for new products, services, and geographic expansions, including identifying applicable regulatory requirements, licensing needs, and compliance obligations.
  • Support or lead participation in complex, cross-functional regulatory and strategic projects, with responsibility for project management, ensuring that timelines, deliverables, and regulatory milestones are met in accordance with the Group Compliance Plan and broader Business Plans.
  • Partner with Product, Legal, Risk, Operations, and Business Development teams to ensure products and services are designed and implemented in a compliant and commercially effective manner.
  • Respond to business requests and queries, providing guidance as necessary, including but not limited to, the Investment Firms Regulations ("IFR") and MiFID II laws and regulations.
  • Serve as the delegate for the Head of Compliance in Ireland, with the authority and confidence to represent the Compliance function internally and externally in their absence.
  • Demonstrate strong experience in regulatory communications and regulatory relationship management, including drafting formal correspondence to the Central Bank of Ireland ("CBI") and other relevant regulatory authorities. Have experience using and advising on the CBI Portal.
  • Assist with the Compliance Monitoring Process, carrying out testing and quality control checks as required in relation to Regulatory matters.
  • Prepare management reporting and assist in the periodic reporting to stakeholders including the Head of Compliance, the Global Deputy Chief Compliance Officer, the Compliance Committee, Board of Directors, Senior Management and the parent company.
  • Identify and lead initiatives to strengthen the regulatory control environment. Contribute to compliance reviews, regulatory project planning, and the implementation of control frameworks to support ongoing regulatory obligations.
  • Providing advice on Outsourcing, reviewing Risk Assessments / SLA's and executing Oversight Reports on outsourcing arrangements.
  • Any other ad-hoc projects and duties as required.

Qualifications

Qualifications

  • Relevant undergraduate degree or other third level qualification is preferred
  • Currently have a formal qualification in Compliance e.g. ACAMs or ACOI
  • Previous experience in regulatory and AML compliance
  • Knowledge of fund administration business and MIFID services
  • Knowledge of financial services laws, regulations and codes in jurisdictions MUFG IS conducts business predominantly Ireland / EU
  • Strong people management skills with experience managing a team
  • Microsoft Office: Excel, Word, PowerPoint, Outlook
  • Minimum 7 years' experience within a Regulatory Compliance, Compliance Advisory or Legal Compliance field
  • At least 2 years' experience managing teams

This role is a Controlled Function (CF) role under the CBI Fitness & Probity Regime

Additional Information

What's in it for you to join MUFG Investor Services?

Take a look at our careers site and you'll find everything you'd expect from a career with the fastest-growing business at one of the world's largest financial groups. Now take another look. Because it's how we defy expectations that really defines us. You'll feel that difference in all kinds of ways. Our vibrant CULTURE. Connected team. Love of innovation, laser client focus, and next-level LEARNING & DEVELOPMENT. Oh, and we really walk the talk when it comes to HYBRID WORKING.

So, why settle for the ordinary? Apply now for a Brilliantly Different career.

We thank all candidates for applying; however, only those proceeding to the interview stage will be contacted.

Seniority level
  • Seniority levelMid-Senior level
Employment type
  • Employment typeFull-time
Job function
  • Job functionFinance

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