Description

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 Regulatory Operations & Oversight Manager Role: Act as a senior Line 1.5 oversight function bridging Operations and Compliance, with end-to-end accountability for embedding regulatory requirements within the firm’s operational framework. This includes ownership of the design, implementation, and ongoing effectiveness of processes, controls, and governance arrangements to ensure alignment with UCITS, AIFMD, MiFID II, AML, and other applicable regulatory obligations. The role is responsible for overseeing the firm’s delivery of delegated fund services and, where relevant, the performance of supporting third-party provider(s), supporting robust cross-border distribution governance, and ensuring operational activities are conducted in a controlled, compliant, and well-governed manner, with clear evidence of effective oversight and challenge. While supporting the business in meeting its regulatory obligations, the role operates with a strong first line ownership mindset and complements, but does not replace, the independent assurance and challenge provided by Compliance. Regulatory Operations & Oversight Manager Accountabilities include: 1. Regulatory Implementation (Line 1.5) • Own the translation of regulatory requirements (including UCITS, AIFMD, MiFID II, CBDF, AML and GDPR) into a coherent and robust operating model, ensuring the design and implementation of effective processes, controls and governance frameworks across the business. • Lead regulatory interpretation and implementation at a strategic level, engaging with Compliance, Risk, Legal, external counsel, and ManCo to ensure timely, consistent and well-governed adoption of regulatory developments, with clear accountability for outcomes. • Ensure operational processes, policies and procedures in place, are maintained up to date, and adhere to current regulatory obligations. • Support regulatory change projects and cross‑functional implementation. 2. Distribution & Marketing Oversight • Monitor fund orders, support investor onboarding and act as an escalation point for distribution and investor / client related queries. • Responsible for operational aspects of cross‑border distribution (registrations, distributor due diligence) and ensuring compliance with applicable regulatory requirements across all jurisdictions. • Maintain oversight of distributors, sub‑distributors and the distribution chain, including periodic reviews and monitoring. • Accountable for ensuring marketing and distribution activities adhere to approved governance frameworks, including that all materials follow formal approval processes and are distributed only within permitted jurisdictions and to the defined target market in line with regulatory and product governance requirements. 3. Oversight of Delegated Service Provision • Accountable for first line oversight of the firms’ funds activities, acting as delegate, ensuring that all arrangements operate in line with contractual obligations, regulatory expectations, and internal governance standards. • Own the first-line review and challenge of the firm’s service delivery performance in respect of delegated fund activities, including KPIs, SLAs, incident logs, and broader operational metrics, ensuring issues, trends and risks are proactively identified and addressed. • Responsible for the timely and effective escalation of material issues, ensuring senior management, Compliance, and the management company are appropriately informed, with clear articulation of risks, proposed actions, and resolution outcomes. 4. Operational Risk & Controls • Accountable for the design, maintenance, and effectiveness of first line regulatory controls, ensuring they are appropriately documented, consistently applied, and capable of evidencing compliance with applicable regulatory requirements. • Support incident management, root‑cause analysis, and remediation tracking. • Responsible for supporting and contributing to operational risk assessments and control testing activities, ensuring risks are appropriately identified, assessed, and mitigated, with clear documentation and challenge to strengthen the overall control environment. 5. Governance & Reporting • Preparation and delivery of operational and regulatory updates to senior management, Boards, Committees and Forums, ensuring reporting is accurate, timely, and provides clear insight into key risks, issues, and implementation progress. • Own the maintenance and integrity of key regulatory and operational registers (including breaches, complaints, incidents, and distribution oversight logs), ensuring they are complete, up to date, and support effective governance, reporting, and auditability. • Responsible for overseeing the completion of recurring reporting requirements relating to UCITS products, ensuring outputs are accurate, consistent, and delivered in line with regulatory and internal deadlines. • Accountable for the coordination and provision of operational input into regulatory filings, including distribution data and operational metrics, ensuring submissions are complete, accurate, and aligned with regulatory expectations and reporting standard. 6. Cross‑Functional Collaboration • Work closely with Compliance, Risk, Legal, Operations, Portfolio Management and Distribution teams. • Act as the operational point of contact for regulatory queries. • Assist with fund launches, mergers, and operational readiness activities. • Contribute to (and manage as appropriate) projects in relation to local and foreign tax compliance, seeking input and expertise from colleagues and external resources as required. • Support audits and regulatory inspections from an operational perspective. Qualifications and Experience • 5+ years in Fund governance within an asset management, UCITS fund operations, investment operations, distribution oversight, ManCo or regulatory operations. • Experience with UCITS funds, portfolio reporting, cross-boarder distribution and regulatory data requirements (including CBI, ESMA, and UCITS) would be highly advantageous. • Extensive experience operating within delegated models (ManCo, administrator, and investment manager), with a proven ability to deliver outcomes through effective influence, robust governance, and appropriate escalation. • Ability to interpret regulatory requirements and implement them operationally. • Strong organisational and governance skills. • Excellent communication and stakeholder‑management abilities. Ideal Characteristics • Strong understanding of regulatory frameworks (UCITS, MiFID II, AIFMD, AML/CFT, GDPR), with the ability to interpret and apply requirements in an operational context. • Experience in oversight of delegated models and third-party providers, including performance monitoring, governance, and escalation frameworks. • Effective stakeholder management and communication skills, with the ability to engage senior management, Boards, and external service providers. • Commercial awareness and understanding of investment management operations, including fund structures, distribution models, and investor lifecycle processes. • Highly detail-oriented with strong analytical capability, able to interpret complex regulatory requirements, assess impacts, and translate them into practical, proportionate business solutions. • Demonstrates sound judgement and accountability, with the ability to operate independently, prioritise effectively, and make well-reasoned decisions in a controlled and risk-aware manner. • Comfortable operating across first line and second line functions, with the ability to challenge constructively, influence stakeholders, and bridge business, risk, and compliance perspectives. • Strong documentation, process mapping, and control design skills, with a focus on clarity, consistency, and evidencing robust governance and audit readiness. • Proactive, structured, and delivery-focused, with the ability to drive change initiatives, embed controls, and improve processes in a scalable and sustainable way. 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.