Compliance Specialist

I’m partnering with a leading global investment management firm to hire their first on-the-ground compliance professional in Dublin. This is a standalone role locally, working closely with trading and support teams, with a strong focus on MiFID II conduct, distribution, trade survelience and regulatory obligations.

The opportunity

• First compliance hire in the Dublin office with a broad MiFID II and conduct remit.
• Work in a sophisticated, high-performing trading environment with direct exposure to senior stakeholders and reporting line to US.
• Help shape and embed the local compliance framework while aligning to an established global platform.

Key responsibilities

• Act as a primary point of contact in Dublin for day-to-day MiFID II compliance matters (conduct of business, best execution, conflicts of interest, client categorisation, inducements).
• Develop, implement and maintain MiFID II policies and procedures for the Dublin entity, ensuring alignment with the wider global compliance framework.
• Support regulatory reporting and reconciliation activities (e.g. MiFIR transaction reporting and other local regulatory returns), including investigation and remediation of reporting breaks.
• Contribute to monitoring and testing programmes covering areas such as best execution, product governance, suitability/appropriateness (where applicable) and ongoing client/counterparty due diligence.
• Assist with responses to regulatory queries and inspections from the Central Bank of Ireland and other EU regulators, working closely with Group Compliance and Legal.
• Support internal investigations into potential conduct or policy breaches, including review of documentation, emails and trade/client records.
• Assist with sanctions and restricted list screening, escalating issues in line with internal procedures.
• Provide compliance input into new business and product initiatives, including regulatory change, cross‑border activity and licensing/permissions.
• Help deliver periodic compliance training to Dublin staff on MiFID II, conduct risk, market abuse, conflicts, personal account dealing and related topics.
• Participate in broader compliance and regulatory change projects impacting the Dublin office.
• Contribute to global monitoring and surveillance activities as part of the wider conduct and market abuse framework

Candidate profile

• 4–8 years’ experience in compliance, risk, regulatory or advisory roles within an investment firm, investment bank, asset manager or Big 4/consulting, with clear exposure to MiFID II.
• Strong working knowledge of MiFID II / MiFIR conduct and organisational requirements (best execution, conflicts, product governance, client categorisation, inducements, transparency).
• Experience with regulatory reporting obligations (ideally MiFIR transaction reporting and related reconciliations; EMIR or other reporting a plus).
• Exposure to CBI or other EU competent authorities (e.g. handling queries, inspections or thematic reviews) is highly desirable.
• Comfortable working close to trading desks and senior stakeholders in a fast-paced, high-accountability environment, with a pragmatic, solutions-focused style.
• Excellent communication skills, with the ability to translate regulatory requirements into practical guidance for the business.
• Relevant professional qualifications (e.g. QFA, CAMS, compliance diplomas, legal or accounting background) are advantageous but not essential.