Assistant Manager - Compliance Advisory

About Goodbody

Goodbody is a leading financial services firm, committed to serving and growing client relationships for 150 years. We are a full service, investment-led business offering wealth management, asset management, investment banking and private equity services. Our staff of over 400 work in offices across Dublin, London, Cork and Galway. We’re proud to offer prospective employees a professional, collegial work environment that encourages diversity of thought and background. Our reputation in the Irish market for putting customers first is as consistent as the company’s long-standing commitment to giving back to the communities that we work in.

About the Assistant Manager, Compliance Advisory (Wealth Management) Role:

We have an exciting opportunity to join our Compliance team for someone who is looking to further develop their career in Compliance. The role provides independent oversight & support to our stakeholders on regulatory compliance matters across Goodbody’s business areas, most specifically Goodbody Wealth Management. The successful candidate is required to advise, challenge and collaborate with business units to mitigate regulatory risks and promote compliance best practices.

Assistant Manager, Compliance Advisory (Wealth Management) Accountabilities include:

• Provide advice, independent review and constructive challenge & oversight (via the Goodbody Compliance Advisory Methodology) in relation to Goodbody Compliance policies & frameworks, relevant regulation and/or regulatory compliance risk to the Goodbody First Line of Defence (1LoD).
• Support the delivery of Compliance Advisory Team’s work on time, within agreed budget, in accordance with agreed quality standards. 
• Review the work of the Compliance Advisory Team through centralised reporting to key governance, including participation in or membership of internal working groups and change management processes & projects requiring 2LOD SME input.
• Support the delivery of Compliance reporting which clearly highlight where action is required, using influencing and communication skills to confirm that points raised are clear and concise; 
• Review, develop and enhance the Compliance Advisory Methodology and department procedures to reflect current regulations.
• Support the Goodbody Compliance Regulatory Horizon Scanning and Upstream process in analysing new or amended regulation, legislation, guidance, standards, etc.
• Oversee the completion of periodic reporting/submissions, including externally to the Firm’s regulators. 
• Preparation and delivery (as required) of training on the aspects of the Goodbody Compliance Risk Management Policy to relevant business areas, including as part of regulatory change management processes.
• Promote a strong compliance culture in Goodbody.

Qualifications and Experience

• Proven experience in Compliance, Risk (‘2LoD’) functions.
• Minimum of 4-6 years’ experience in Risk, Compliance functions.
• Third level qualification in a business/legal related area is required.
• Knowledge of the regulatory environment in which Goodbody operates (i.e. MiFID, Consumer Protection Code, Pensions Act). 

Ideal Characteristics

• A strong team player with demonstrated initiative.
• Excellent interpersonal skills with the ability to influence and challenge.
• Highly professional with a good understanding of financial services.
• Ability to work under pressure and prioritise workload.

Employee Value Proposition

Goodbody is focused on helping our employees thrive, and we do this by bringing to life our Employee Value Proposition (EVP) ‘Together we prosper’. Our firm’s purpose is to create long-term prosperity, and we cannot execute on our purpose without the right talent at Goodbody. To make sure we attract and retain industry-leading, passionate and inspiring talent, we’ve built a vibrant culture based on inclusion, opportunities to grow and a commitment to ‘do the right thing’, one of our core values. We live this by offering:

• Regular employee events through our universal inclusion programme fostering a sense of belonging and celebrating differences. And an ‘always on’ approach to social, financial, mental and physical wellbeing. 
• A benefits package that includes a generous pension scheme, educational sponsorship and health insurance, along with a hybrid working model to promote better work/life balance
• Opportunities to give back through sustainability initiatives, volunteering and on-site and online meetings with our charity partners

Goodbody is an equal opportunities employer and is committed to fostering an inclusive workplace which values and benefits from the diversity of our workforce.  Reasonable accommodations are offered at every stage of our recruitment process. Should you have a reasonable accommodation request please include a note in your application or email us directly at HR@Goodbody.ie 

Please read the Goodbody Recruitment Privacy Notice. By submitting your personal data to us, you acknowledge that you have read and understood this Privacy Notice and agree to the use of your personal data in line with this. We will only use the information that we collect about you lawfully in accordance with the Data Protection Acts, 1988 and 2003 and the EU General Data Protection Regulation (GDPR).

Appointment to this role is subject to the candidate's eligibility to work in Ireland. Where agency assistance is required, our Recruitment Team will engage directly with suppliers. Unsolicited CVs / profiles supplied to Goodbody by recruitment agencies will not be accepted for this role. Goodbody operates a direct sourcing model and where agency assistance is required, the HR team will engage directly with our recruitment partners.

Goodbody Stockbrokers UC, trading as Goodbody, is regulated by the Central Bank of Ireland. In the UK, Goodbody is also subject to regulation by the Financial Conduct Authority. Goodbody is a member of Euronext Dublin and the London Stock Exchange. Goodbody is a member of the group of companies headed by AIB Group plc.

For AIB Employees: Please note there are specific controls in place for transfers between AIB and Goodbody. Goodbody is part of AIB Group and you must inform your AIB line manager and HR BP in advance of making an application to Goodbody.