Senior Associate Director, Regulatory Compliance
- Dublin
- Permanent
- Full-time
- 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 Company's 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 / SLA's and executing Oversight Reports on outsourcing arrangements.
- Any other ad-hoc projects and duties as required.
- 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