Risk Compliance Assurance: Senior Associate
Davy, Ireland
Job Description
Davy is a trusted market leader in wealth management and capital markets, building rewarding relationships that last. Our vision is to be the financial services partner most trusted by our clients and most admired for our people. We are committed to delivering world-class outcomes for our clients whether they are individuals, businesses or institutions.
Developing our people is our priority and we 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 in your further education demonstrate the value we place in developing and rewarding our staff.
We are over 700 people, managing 14bn+ of our client assets, with offices in Dublin, Cork, Galway, Belfast, London and Luxembourg. We are one team, always growing, putting our clients first.
What We’re Looking For
An exciting opportunity has arisen for the position of Senior Associate Level 2 on the Risk amp; Compliance Assurance Team in the Davy Group. This position requires a motivated and adaptable self-starter who is comfortable challenging colleagues, implementing practical solutions, a logical thinker with proven experience of delivering work to tight deadlines and team player who is also comfortable taking individual ownership of a number of activities.
The primary area of focus will be oversight of activities performed within the first line of defense. Previous experience of working in an assurance, regulatory or audit role is of benefit with exposure to financial services regulated entities required. Applicants will be expected to demonstrate knowledge of applicable regulation and regulatory expectations. Working as part of a team, this role-holder will be involved in the full lifecycle of an assurance review; from initial notification to development of recommendations.
Key Responsibilities:
- Perform monitoring and testing of adherence to Group Policy and regulatory requirements;
- Input into development of annual Risk amp; Compliance Assurance Plan;
- Assist with completion of enterprise-wide annual Compliance Risk Assessment;
- Work with 1LoD to develop actions to address control gaps or enhancements;
- Liaise with stakeholders across the organisation including other 2LoD functions and Group representatives;
- Assist with remediation action tracking;
- Conduct action closure verification;
- Assist with the delivery of compliance training;
- Support and provide technical guidance to more junior team members;
- Promote risk and compliance culture across Davy.
Requirements
- Minimum of 5 years risk management/regulatory compliance/regulatory consulting experience
- Experience of working in/with financial services regulated entities
- Knowledge of relevant regulation and regulatory environment
- Experience in conducting risk assessments
- Experience in working under pressure to meet tight timelines
- Strong stakeholder management, communication and report writing skills
Desired Qualifications
- ACOI qualification, or equivalent
- Chartered accountant qualification
- Chartered Financial Analysis qualification
The position set out above is defined in the Fitness amp; Probity Standards issued by the Central Bank of Ireland (Fitness amp; Probity Standards) as a Controlled Function (CF), namely CF2. In compliance with the Fitness amp; Probity Standards applicable to your position, any offer of employment is conditional upon you demonstrating that you meet the Famp;P Standards.
Davy is an equal opportunities employer and we are committed to fostering an inclusive workplace. We value diversity both in background and in experience. You might not meet all of the requirements outlined in the above job description, but we would still like to hear from you. We review all applications received.
Davy Group is a member of the Bank of Ireland Group.