Regulatory Compliance Manager - Asset Management

  • Excellent
  • Dublin, Leinster, Ireland
  • Contract, Full time
  • Paragon Executive
  • 15 Aug 17

A legal or compliance professional required to provide Regulatory Compliance advice and expertise to the business by responding to, implementing and supporting adherence to regulatory requirements.

The Role:

  • Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters
  • Design and maintain an accurate and comprehensive inventory of applicable laws, regulations and codes
  • Develop an early warning system for upstream legal and regulatory changes
  • Ensure effective and compliant management of the mortgage appeals process
  • Ensure provision of prompt and accurate advice to the business on compliance and regulatory matters
  • Ensure that robust policies and related procedures are in place to comply with applicable laws, regulations and codes, and internal policy requirements. Roll out new/updated policies and procedures where appropriate
  • Input to relevant business policies and procedures to ensure compliance with relevant laws, regulations and codes
  • Determine optimal training strategy, content and mode of delivery
  • Issues/implications of legal and regulatory changes identified and acted upon in a timely manner
  • Annual documented risk assessment and plan, reviewed and updated as required
  • Effective and compliant mortgage appeals process in place
  • Delivery of prompt and accurate advice to the business
  • All appropriate policies and procedures in place and up-to-date
  • Level and quality of Compliance training as measured by feedback from business and participants

The person:

  • Strong Legal & Compliance experience in a financial services environment
  • 3rd Level Education to Degree or masters level
  • Ability to demonstrate detailed knowledge of relevant laws and regulations relevant to the Irish financial services
  • Legal qualification and/or Licentiate of the Association of Compliance Officers in Ireland
  • Previous experience operating in a leadership position
  • Experience in design and delivery of training courses
  • Experience of Conduct Risk and Knowledge of mortgage lending legislation (desirable)
  • Data Protection qualification (desirable)
  • Anti-Money Laundering qualification (desirable)
  • Analytical thinking with strong Communication & Interpersonal Skills
  • Influencing/Persuasion & Negotiation Skills
  • Willing to demonstrate leadership skills via direction & goals driven project and task management

This Regulatory Compliance officer is an exciting opportunity to join a top tier Asset manager’s institution. Reporting directly and aiding the Senior Manager, this role will be required to deliver specific aspects of support to the growing department, with view of a strong career progression internally with time while aiding and deputising for the senior manager.

For a private and confidential conversation and for a full job description please contact


Ciarán O Connell on 01-8746770. Or email: