Head of Capital Markets Compliance

2 weeks ago

Dublin, Dublin City, Ireland Davy Group Full time

We are in search of a

Head of Capital Markets Compliance

The position will directly report to the Chief Compliance Officer (CCO) and will involve collaborating with Davy Capital Markets to ensure compliance with all legal and regulatory requirements in different jurisdictions. Duties include maintaining compliance with capital markets regulations, focusing on MIFID II, Market Abuse Regulation (MAR), Short Selling Regulations, Stock Exchange, and Takeover Panel Rulebooks. Responsibilities also entail overseeing trade surveillance, ensuring best execution, and managing market abuse risk within Davy. Additionally, managing pre & post trade controls for Davy's Personal Account Dealing arrangements, staying updated on regulatory developments, and conducting regulatory mandatory training to ensure staff awareness of obligations. The role includes managing the Capital Markets 2LOD compliance team, technology for compliance support, and leading people management efforts to build a high-performing team.

Requirements

Qualifications

We are seeking a professional with the following background and competencies:

At least 7 years in compliance or legal roles within an investment firm or professional services firm Relevant Third Level Education Degree Knowledge of Capital Markets industries Strong practical understanding of trading regulations like MIFID II, MAR, Short Selling Regulations, Stock Exchange, and Takeover Panel Rulebooks Ability to collaborate effectively across business units Exceptional verbal & written communication and presentation skills Experience engaging with senior stakeholders, including the Board and regulatory bodies

The role outlined above adheres to the Fitness & Probity Standards set by the Central Bank of Ireland as a Controlled Function (CF), specifically CF2. It also complies with the Minimum Competency Code. Employment offers are subject to meeting these standards.

Benefits

We provide various benefits and growth opportunities to support your professional and personal development, regardless of your career stage. Our benefits extend beyond monetary compensation, offering competitive salary, performance-related bonuses, flexible benefits, pension contributions, and insurance coverage. We prioritize the development of our employees both professionally and personally. Training is supported by the award-winning Learning & Development Team, and we offer sports & social programs, flexible work arrangements, employee assistance programs, enhanced leave options, and social & community care initiatives to empower our employees.

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