Compliance Monitoring Associate

About Davy Group

Davy Group, established in 1926, is a cornerstone of wealth and capital in Ireland. We serve a diverse clientele, including high-net-worth individuals, self-directed investors, SMEs, credit unions, corporations, as well as domestic and international institutional investors. Our organization thrives on our core values: client success, unity under One Davy, and building a proud legacy, supported by a team of over 900 professionals who are encouraged to develop both professionally and personally.

Role Overview

We have an excellent opening in our Compliance Monitoring team for a Compliance Associate. This role involves ensuring adherence to relevant legal and regulatory standards across multiple jurisdictions and maintaining best industry practices.

Key Responsibilities

• Oversee compliance with the Compliance Framework, including reviewing policies and procedures as applicable to Davy's business operations.
• Support the monitoring of the firm's regulatory responsibilities.
• Analyze trade surveillance alerts and conduct surveillance of electronic communications such as emails, Bloomberg, and telephone interactions.
• Assist the firm in fulfilling its obligations under the Trading Venues Rules (London Stock Exchange and Euronext) and the Takeover Panel Rules.
• Contribute to the development and implementation of new compliance tests and programs as required.
• Maintain accurate compliance records and continuously improve processes and procedures.
• Provide administrative support for compliance activities.
• Assist management with compliance projects, acting as coordinator when necessary.
• Adhere to established Risk and Compliance frameworks, policies, and procedures related to the role.

Candidate Profile

• Holds a relevant third-level qualification in Business, Finance, Law, or equivalent, along with audit, legal, or compliance certification.
• Has over two years of experience in financial services, with a strong understanding of regulatory requirements pertinent to capital markets and/or corporate finance.
• Possesses investigative skills and demonstrates keen interest in compliance functions.
• Familiarity with financial markets and trading is advantageous.
• Exhibits strong verbal and written communication skills.
• Detail-oriented with excellent attention to accuracy.
• Proficient with Microsoft Office applications including Word, Excel, Outlook, PowerPoint, and ideally Power BI.
• Experienced in developing and implementing system improvements with proper business requirements documentation.
• Keen to further develop specialist knowledge in capital markets compliance, including MIFID, Market Abuse Regulation, and Stock Exchange regulations.
• Self-motivated and capable of managing multiple projects and stakeholders concurrently.

Benefits and Work Environment

• Comprehensive health and wellness programs, including psychological safety initiatives, Employee Assistance Programme, and mental health first aid.
• Engaging sports and social teams that encourage physical health and social connections.
• Competitive remuneration package with salary, bonus, pension, and additional benefits to safeguard employees and their families.
• Access to extensive learning and professional development programs supported by an award-winning Learning & Development team.
• An inclusive and diverse workplace culture with flexible working arrangements and hybrid work models to support work-life balance.
• Strong commitment to core values that foster a cohesive and client-focused team environment.

Additional Information

Davy is an equal opportunity employer promoting diversity and inclusion. Candidates not meeting every listed criterion are still encouraged to apply. Reasonable accommodations during the recruitment process will be provided upon request. Employment is contingent upon eligibility to work in Ireland. Recruitment agencies must coordinate with the company's Recruitment Team directly; unsolicited agency submissions will not be considered. Davy Group is part of the Bank of Ireland Group.