Head of risk & compliance - new mifid (wealth & investment) entrant

Head of Risk & Compliance - New Mifid (Wealth & Investment) Entrant

🛡️ 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

* 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).
* Regulatory Management — 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.


Details

* Seniority level: Executive
* Employment type: Full‑time
* Job function: Finance
* Industries: Financial Services, Investment Advice, and Investment Management
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