Capital Markets Compliance Senior Associate

Davy

  • Dublin
  • Permanent
  • Full-time
  • 2 months ago
  • Apply easily
About UsFrom day one, you’ll notice there is something special about working at Davy. Our success is built on nearly 100 years of forging strong relationships with our clients and developing the careers of Ireland’s future business leaders.Established in 1926, the Davy Group sits at the heart of wealth and capital in Ireland, providing a broad range of services to high-net-worth individuals, self-directed investors, small-to-medium enterprises, credit unions, corporations, and domestic & international institutional investors.Our culture is shaped around three values, which are at the heart of everything we do: client success, one Davy, and building a proud legacy. Sharing the same goals, we work together to deliver exceptional outcomes for our clients. As part of a team of over 900, you will be encouraged to learn and to grow, both professionally and personally.About the roleAn opportunity has arisen within the Davy Group dedicated Capital Markets compliance team for a Senior Associate. This team oversee the trading activities of J&E Davy, a member of the Davy Group, and monitor compliance with the relevant legal and regulatory requirements across all relevant jurisdictions (Market Abuse Regulation and MiFID/MiFIR) as well as industry best practice.We’re seeking a proactive, adaptable professional with strong regulatory knowledge, a logical mindset, and the confidence to challenge, implement solutions, and manage tasks independently while collaborating effectively within a team.Davy’s Capital Markets division is a market leader in Irish equities and fixed income trading. We deliver top-tier outcomes to corporate and institutional clients through expert research, execution, and advisory services in equity, debt and corporate advice.In the role, the successful candidate will:
  • Monitor and analyse trade surveillance alerts as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications.
  • Support the firm with its obligations under the Market Abuse Regulation such as insider lists, market soundings and investment recommendations.
  • Support the firm with its obligations under the Rules of Trading Venues (LSE and Euronext) and with the Rules of the Takeover Panel.
  • Monitoring compliance with the firm’s MiFID II and MiFIR obligation for example Best Execution, Transaction Reporting and Trade Reporting.
  • Undertake pre –and – post trade checks for staff dealing.
  • Providing compliance training as necessary.
  • Liaising with Central Bank and FCA as well as Takeover Panel, Euronext and LSE.
  • Analyse new regulations to determine their impact on the firm, implementing the necessary changes.
  • Assist management with designated compliance projects and assignments and act as coordinator where required.
RequirementsAbout youWe are looking for somebody who has the following background and skills:
  • Relevant 3rd level Degree (Business, Finance, Law, or equivalent) and /or audit/legal/compliance qualification.
  • 3+ years working in a financial services industry with a good working knowledge of the regulatory requirements applicable to capital markets and/or corporate finance.
  • Strong desire to work in a compliance team with good investigative instincts and background;
  • An understanding of markets and trading is desirable.
  • Strong communication skills both written and verbal.
  • Excellent attention to detail.
  • Strong information technology capability with a high level of competence in Microsoft Office products including Word, Excel, Outlook, Powerpoint and ideally Power BI.
What we offerWe offer a range of benefits and experiences to support your professional and personal growth, whatever your career stage. Our benefits are not just a number. Yes, we offer competitive salary, annual performance-related discretionary bonus, annual flexible benefits, employer pension contribution, and multiple insurance coverage. But more than that, we focus on developing our people to be their best, professionally and personally.Training support provided by award-winning Learning & Development Team, extensive sports & social programmes (including free on-site gym & fitness studio), flexible working options, employee assistance programme, enhanced leave options, and social & community care initiatives are just some of the ways our people can empower themselves to be their best.Important InformationDavy 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.Appointment to this role is subject to the candidate's eligibility to work in Ireland.The position set out above is defined in the Fitness & Probity Standards issued by the Central Bank of Ireland (“Fitness & Probity Standards”) as a “Controlled Function (CF)”, namely CF3, CF4 and CF10. The role is also subject to the Minimum Competency Code. In compliance with the Fitness and Probity Standards, any offer of employment is conditional upon you demonstrating that you meet the Standards.”Where agency assistance is required, our Recruitment Team will engage directly with suppliers. Unsolicited CVs / profiles supplied to us by recruitment agencies will not be accepted for this role.Davy Group is a member of the Bank of Ireland Group.

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