Senior Associate, Group Compliance (Capital Markets)
Davy, Ireland
Job Description
The Davy Group is Ireland’s leading provider of wealth management, asset management, capital markets and financial advisory services. You can read more about our growing company here: www.davy.ie
We value our employees as much as our clients, and are committed to embracing diversity in all its forms recognising that the breadth of thought, perspective and experience that emerges from a diverse workforce is essential to deliver on our core values.
Our city centre location, free access to our onsite gym and fitness studio, and impressive social calendar are just some of the unique benefits our employees enjoy while working at Davy.
Performance related bonuses, generous pension contributions and investment into further education demonstrate the value we place in developing and rewarding our staff.
Davy. Making a difference that matters.
An opportunity has arisen within the compliance team for a Senior Associate. This role will report into the Head of our Davy Capital Markets Compliance team. A key pillar of the Jamp;E Davy business is its capital markets business. Davy is a market leader in the execution and trading of Irish equities. We are active market makers in Irish, UK and European equities with strong expertise across a variety of sectors. Within Group Compliance, there is a dedicated Capital Markets Compliance team. This team oversee the trading activities of Jamp;E Davy and ensure full compliance with the relevant obligations from the Market Abuse Regulation and ensuring that Davy Capital Markets operates in compliance with its legal and regulatory requirements across all relevant jurisdictions, as well as industry best practice.
Key Responsibilities of this role will include:
- Supporting the trade surveillance monitoring of capital markets activities
- Providing advice to the Institutional equities, Research and Corporate Finance group
- Support the team in providing regulatory advice regarding applicable regulations.
- Providing compliance training as necessary.
- Supporting the creation and monitoring of insider lists;
- Liaising with Central Bank and FCA as well as Euronext and LSE;
- Oversight of staff dealing;
- Analyse new regulations to determine their impact on the firm, implementing the necessary changes;
- Assisting with the technology change agenda and supporting the enhancement of automated monitoring systems
Requirements
- Relevant 3rd level Degree (Business, Finance, Law, or equivalent) and / or legal/compliance qualification.
- 3+ years working in a compliance team with a good working knowledge of the regulatory requirements applicable to capital markets and/or corporate finance
- Interested in further developing a specialist compliance expertise in respect of capital markets, including MIFID, Market Abuse Regulation and Stock Exchange rules
- Strong communication skills both written and verbal;
- Excellent attention to detail;
- Desired but not essential, relevant Business Analyst and IT expertise;
- Self-organised, with the ability to deal with multiple stakeholders on different projects simultaneously.
The position set out above is defined as a Controlled Function (CF) role, namely CF2 under Section 20 of the Central Bank Reform Act 2010 and Schedule 1 of the Regulations (S.I. No. 437 of 2011) as amended. In accordance with Section 21 of the Central Bank Reform Act 2010 and the Fitness and Probity Standards 2014, any offer of employment is conditional upon you demonstrating that you meet the Fitness amp; Probity requirements, applicable to this position.