Head of Capital Markets Compliance

2 weeks ago

Dublin, Dublin City, Ireland Davy Full time

About us

At Davy, you'll experience a workplace like no other. With nearly a century of nurturing strong client relationships and shaping Ireland's business leaders, our success speaks for itself. Established in 1926, Davy Group stands as a cornerstone of wealth and capital in Ireland, catering to a diverse clientele ranging from high-net-worth individuals to institutional investors. Our core values - client success, unity as one Davy, and building a proud legacy - guide every aspect of our work, driving us towards exceptional client outcomes. Joining a 900+ strong team means opportunities for both professional and personal growth are actively encouraged.

About the Head of Capital Markets Compliance role

We are seeking a Head of Capital Markets Compliance to work closely with Davy Capital Markets in ensuring adherence to legal and regulatory standards across various jurisdictions. This role involves liaising with regulatory bodies such as the Central Bank and FCA.

Key Responsibilities:

  • Oversee capital markets regulatory compliance, focusing on areas like MIFID II, Market Abuse Regulation, and other relevant rules and regulations
  • Collaborate with teams to provide compliance guidance
  • Develop and maintain policies for Market Integrity Risk
  • Conduct trade surveillance and ensure regulatory compliance within Davy
  • Manage pre and post-trade controls for Personal Account Dealing
  • Stay updated on regulatory changes and industry trends
  • Deliver regulatory training to ensure awareness and compliance
  • Lead the Capital Markets compliance team and manage supporting technology
  • Focus on team development and performance management

Requirements

About you

We are looking for a candidate with:

  • 7+ years of experience in compliance or legal roles within investment or professional services
  • A relevant Third Level Education Degree
  • Understanding of Capital Markets operations
  • Thorough knowledge of trading regulations like MIFID II, MAR, Shortselling Regulations, and Stock Exchange rules
  • Ability to collaborate effectively across business units
  • Strong communication and presentation skills
  • Experience engaging with senior stakeholders and regulatory authorities

What we offer

Join us at Davy and access a range of benefits to support your professional and personal growth. Beyond competitive compensation, bonuses, and benefits like pension and insurance coverage, we prioritize your development. Our award-winning Learning & Development Team, sports & social programs, flexible working options, and more are geared towards empowering you to excel.

Important Information

Davy promotes inclusivity and values diversity in all aspects. Even if you don't meet every requirement listed, we encourage you to apply as we consider all applications. Eligibility to work in Ireland is a prerequisite for this role. Please note that unsolicited applications from recruitment agencies will not be accepted for this position.

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