Head of Risk & Compliance - New Mifid (Wealth & Investment) Entrant
Dublin, Ireland
| PCF Role | Strategic Risk & Compliance Leadership | Broad & Exciting Mandate | EU Hub
Our client, a highly respected investment firm with a long-standing reputation in wealth and asset management, is at a pivotal phase of growth, embarking on a transformative expansion into the European market. The EU hub will be based in Dublin. The firm is seeking an exceptional individual to take on a senior leadership role - one that blends regulatory compliance, risk governance, and strategic oversight at the highest levels.
This is a rare opportunity to take on full PCF responsibility for compliance, risk, and AML/CTF oversight at a dynamic, MiFID-regulated firm, backed by the strength of a UK-listed Group managing over €100bn in client assets globally.
The Opportunity - Responsibilities & Scope
You will operate as a member of the Executive Committee and play a critical role in both local regulatory engagement and the broader implementation of Group conduct and compliance standards across Ireland and the UK. You will also contribute to key governance committees, including the Investment Oversight & Outsourcing Committee.
This is more than just a regulatory function - it's a
strategic leadership role
embedded at the heart of the firm's Irish business. Responsibilities will include:
* Board Reporting & Oversight
* Act as the senior regulatory lead in Dublin, reporting directly to the Board with a functional line to Group Compliance. Drive regulatory assurance across the Irish business and align with Group Conduct Risk standards.
* Leadership & Supervision
* Lead and oversee day-to-day Compliance activity, ensuring delivery against deadlines and effective oversight of third-party providers (e.g. custodians).
* Regulatory Expertise
* Maintain in-depth knowledge of CBI and ESMA requirements, including
MiFID II, Consumer Protection Code, Market Abuse Regulation, ICARA/prudential rules, outsourcing and product governance,
financial promotions/marketing oversight and responsibilities as MLRO (PCF-52
.
* Brief management on regulatory developments and lead the business through change programmes.)
* Regulator Engagement
* Serve as the primary contact for the Central Bank of Ireland, building and maintaining a strong working relationship with supervisory teams.
* Monitoring & Assurance
* Oversee the Compliance Monitoring Programme in partnership with Group, producing gap analyses, quality-assured testing, and regular reporting to senior stakeholders.
* Complaints & Conduct Oversight
* Monitor client complaints within the Group framework and ensure appropriate resolution and escalation.
* Management Reporting
* Provide timely management information to the Board and Group governance committees (GEC, GRC, ERC).
* Training & Culture
* Deliver compliance and risk training across the business, including induction for new staff, embedding a culture of conduct and accountability.
* Group Collaboration
* Act as part of the wider Group Compliance leadership team, contributing to the development of the function and alignment of standards.
* Delegated Business Oversight
* Monitor and review UK-delegated accounts, assess effectiveness of delegation arrangements, and train UK-based Investment Managers on Irish regulatory requirements.
The Individual
You will bring the credibility, judgment, and governance expertise expected of a PCF-level executive, along with the agility to operate within a start-up entity environment of a well-established, successful brand. The successful individual will likely be:
Experienced in MiFID-regulated investment firms, ideally with a wealth management / DFM background across suitability, discretionary mandates, and complaints handling; experience in delegated portfolio oversight (Asset Mgmt/ManCo) is also valuable.
A confident CBI-facing leader, with experience managing inspections and senior regulatory relationships
Skilled in designing and leading compliance monitoring programmes, conduct risk frameworks, and risk oversight
Previously held PCF12, PCF14, and/or PCF52 ideal - or has the track record and experience to gain approval from the CBI
Strategic, commercial, and hands-on - with a deep understanding of how compliance supports business growth
Professional and influential - able to effectively partner with group-level leaders while protecting local regulatory integrity
Why This Role?
Executive Voice
- Be part of the firm's Executive Committee and influence its direction in Ireland
High Autonomy, High Impact
- Lead all risk and compliance activity locally while aligning to global standards
Prestigious Brand
- Join a respected firm with a trusted reputation and significant international AUM
Strategic Compliance Career Move
- A rare opportunity to lead the full compliance and risk agenda in a dynamic MiFID business
Confidential inquiries welcome.
If you believe you meet the above criteria and you're a senior compliance and risk professional ready to step into a highly visible, strategically important role, please do get in touch.