Head of Capital Markets Compliance

Head of Capital Markets Compliance

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: 

About us 

From 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 Head of Capital Markets Compliance role

We are looking for a Head of Capital Markets Compliance. The role will report to the Chief Compliance Officer (CCO) and will involve working with Davy Capital Markets to ensure that all legal and regulatory requirements are met across all relevant jurisdictions. The role will involve liaison with the Central Bank and FCA

Key Responsibilities: 

• Responsible for capital markets regulatory compliance, with particular focus on MIFID II, Market Abuse Regulation (“MAR”), Short Selling Regulations, as well as Stock Exchange and Takeover Panel Rulebooks. 
• Working collaboratively with first line teams to advise on compliance issues 
• Policy owner for Market Integrity Risk and ensuring adequate procedural documentation
• Responsible for trade surveillance, monitoring best execution and reporting on market abuse risk within Davy. 
• Responsible for pre & post trade controls associated with Davy’s Personal Account Dealing arrangements. 
• Monitor regulatory developments, guidance and industry trends 
• Responsible for regulatory mandatory training content to ensure Davy people are made aware of their obligations under regulation. 
• Manage the day-to-day operation of the Capital Markets 2LOD compliance team.
• Manage the technology used to support capital markets compliance 
• People Management, developing a high performing team

What we offer 

We 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-wining 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. 

Requirements

Requirements 

• 7+ years working in a compliance or legal team in an investment firm or professional services firm
• Third Level Education Degree in a relevant area
• Familiarity with Capital Markets businesses 
• Significant practical knowledge of trading related regulations such as MIFID II, MAR, Shortselling Regulations, as well as Stock Exchange and Takeover Panel Rulebooks; 
• Ability to effectively collaborate across business units/lines; 
• Excellent verbal & written communication and presentation skills 
• Experience engaging with senior stakeholders up to and including Board and the Central Bank 
• Experience dealing with supervisory authorities 

Important Information 

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 CF2. In compliance with the Fitness and Probity Standards applicable to your position, any offer of employment is conditional upon you demonstrating that you meet the Fitness & Probity 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.

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 us by recruitment agencies will not be accepted for this role. 

Davy Group is a member of the Bank of Ireland Group. 

Please note applications close on Friday, 3rd May 2024.