Senior Associate Director, Regulatory Compliance
Senior Associate Director, Regulatory Compliance
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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 Companys 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 / SLAs 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 :
Whats in it for you to join MUFG Investor Services
Take a look at our careers site and youll find everything youd expect from a career with the fastest-growing business at one of the worlds largest financial groups. Now take another look. Because its how we defy expectations that really defines us. Youll 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.
Remote Work :
No
Employment Type :
Full-time
Employment Type
Full-time
