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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 level
Director
Employment type
* Employment type
Full-time
Job function
* Job function
Finance, Information Technology, and Product Management
* Industries
Technology, Information and Media, Financial Services, and Business Consulting and Services
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