Head of Capital Markets Compliance

1 month ago

Dublin, Dublin City, Ireland Cpl Full time

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 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 the company.
  • Responsible for pre & post trade controls associated with the company's Personal Account Dealing arrangements.
  • Monitor regulatory developments, guidance and industry trends.
  • Responsible for regulatory mandatory training content to ensure the company's 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.

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

Appointment to this role is subject to the candidate's eligibility to work in Ireland.

#LI-BM1

  • Head of Capital Markets Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland Davy Full time

    About usAt 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...

  • 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...

  • Compliance Officer

    2 weeks ago

    Dublin, Dublin City, Ireland LGT Capital Partners Ltd. Full time

    The Compliance Team is looking for a detail-oriented and self-motivated Compliance Officer. The successful person will be responsible for compliance-related topics with an emphasis on regulatory reporting on behalf of the Management Company and the funds under management in both Ireland and Luxembourg. The Compliance Officer role reports to the Head of...

  • Associate - Capital Markets

    2 weeks ago

    Dublin, Dublin City, Ireland Arthur Cox LLP Full time

    Associate - Capital MarketsApplication Deadline: 30 June 2024Department: CommercialEmployment Type: Full TimeLocation: DublinDescriptionAt Arthur Cox, our Associates are the bedrock of our business. Illustrating our success and growth and our determination to reward the career aspirations of our ambitious and talented people, we develop specialist industry...

  • Capital Markets Solicitor Dublin

    2 weeks ago

    Dublin, Dublin City, Ireland Abrivia Recruitment Specialists Ltd. Full time

    Capital Markets Solicitor Dublin (Newly Qualified)Capital Markets Solicitor Dublin (Newly Qualified)A fantastic opportunities has arisen for a Newly Qualified Solicitor to join the Capital Markets team of a leading law firm in Dublin.This position offers the opportunity to work in highly regarded team with strong support and career growth opportunities.The...

  • Head of Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland Broadgate Full time

    Head of ComplianceInvestment ManagementDublin - Hybrid Working I've partnered exclusively with a long term client of ours to find a Head of Compliance for their Irish business. It's a well known international name with a fantastic reputation for being a great place to work.Whether you are seeking your first PCF role or are an experienced PCF holder looking...

  • Head of Compliance

    1 week ago

    Dublin, Dublin City, Ireland Broadgate Full time

    Head of ComplianceInvestment ManagementDublin - Hybrid Working I've partnered exclusively with a long term client of ours to find a Head of Compliance for their Irish business. It's a well known international name with a fantastic reputation for being a great place to work. Whether you are seeking your first PCF role or are an experienced PCF holder looking...

  • Capital Actuary- Hybrid

    2 weeks ago

    Dublin, Dublin City, Ireland Zurich Australian Insurance Ltd. Full time

    Press Tab to Move to Skip to Content Link Select how often (in days) to receive an alert: Capital Actuary- Hybrid Capital Actuary-HybridThe Zurich Technical Centre of Excellence EMEA (TCOE EMEA) has highly skilled professionals who are experts in their respective areas. Applying extensive knowledge and experience, they provide a wide range of services as...

  • Capital Actuary- Hybrid

    2 weeks ago

    Dublin, Dublin City, Ireland Zurich Insurance Group Full time

    Capital Actuary-HybridThe Zurich Technical Centre of Excellence EMEA (TCOE EMEA) has highly skilled professionals who are experts in their respective areas. Applying extensive knowledge and experience, they provide a wide range of services as part of EMEA and Zurich Insurance Europe AG (ZIE). The TCOE EMEA is a regional hub where knowledge is shared and...

  • Capital Actuary- Hybrid

    3 weeks ago

    Dublin, Dublin City, Ireland Zurich Insurance Group Full time

    Capital Actuary-HybridThe Zurich Technical Centre of Excellence EMEA (TCOE EMEA) has highly skilled professionals who are experts in their respective areas. Applying extensive knowledge and experience, they provide a wide range of services as part of EMEA and Zurich Insurance Europe AG (ZIE). The TCOE EMEA is a regional hub where knowledge is shared and...

  • Head of Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland Brown Brothers Harriman Full time

    At BBH we celebrate diverse backgrounds, so if your experience has a unique twist from what we've outlined and you believe you can contribute to the role, we warmly encourage you to apply.What You Can Expect At BBH:If you decide to join BBH, get ready to immerse yourself in a collaborative setting that allows you to go beyond your designated responsibilities...

  • Partner, Debt Capital Markets

    1 month ago

    Dublin, Dublin City, Ireland Idex Consulting Full time

    We have been retained by one of the Irish markets, top-tier capital markets practices to lead the search for a partner with strong DCM experience - the firm is well known by capital markets groups globally as being the go-to for complex work within the Irish market and for Irish elements. The firm are well equipped to support transactions with other aspects...

  • Partner, Debt Capital Markets

    4 weeks ago

    Dublin, Dublin City, Ireland Idex Consulting Full time

    We have been retained by one of the Irish markets, top-tier capital markets practices to lead the search for a partner with strong DCM experience - the firm is well known by capital markets groups globally as being the go-to for complex work within the Irish market and for Irish elements. The firm are well equipped to support transactions with other aspects...

  • Partner, Debt Capital Markets

    2 weeks ago

    Dublin, Dublin City, Ireland Idex Consulting Full time

    We have been retained by one of the Irish markets, top-tier capital markets practices to lead the search for a partner with strong DCM experience - the firm is well known by capital markets groups globally as being the go-to for complex work within the Irish market and for Irish elements. The firm are well equipped to support transactions with other aspects...

  • Head of Risk and Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland Phoenix Recruitment Limited Full time

    This boutique wealth management firm have been offering services to the irish market for over two decades and have built up an excellent reputation and company culture in that time. Due to an upcoming maternity leave they are now looking for a Head of Risk and Compliance on an initial 12 month fixed term contract. Reporting directly to the Managing...

  • Head of Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland AXA Group Full time

    We have an exciting new role within AXAs Compliance Team for a Head of Compliance, responsible for spearheading strategy and operational delivery. We are seeking experienced senior-level Compliance Leaders with a background in managing compliance functions within regulated financial services, ideally within the insurance sector. The ideal candidate will...

  • Head Of Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland Oliver James Associates Ltd. Full time

    Oliver James have partnered with a leading Speciality Insurer who is expanding operations in Ireland to appoint a Head of Compliance, PCF12 into the organisation.This focus of this role will be to support the regulatory compliance function across the business as it continues to grow in size and complexity while providing regulatory compliance assistance and...

  • Head of Compliance

    2 weeks ago

    Dublin, Dublin City, Ireland Oliver James Associates Ltd. Full time

    Oliver James have partnered with a leading Speciality Insurer who is expanding operations in Ireland to appoint a Head of Compliance, PCF12 into the organisation. This focus of this role will be to support the regulatory compliance function across the business as it continues to grow in size and complexity while providing regulatory compliance assistance and...

  • Head of Marketing

    4 weeks ago

    Dublin, Dublin City, Ireland Suir Engineering Full time

    Location: On site / Dublin, Ireland job type: Permanent / Full-time Sector and subsector: Marketing | Marketing Salary: Negotiable Salary About Tate: Tate is a world class global data centre interiors design engineering and manufacturing business, operating as part of the Kingspan Group PLC which is valued at over $9bn. We are currently...

  • Head of Marketing

    2 months ago

    Dublin, Dublin City, Ireland Suir Engineering Full time

    Location: On site / Dublin, Ireland job type: Permanent / Full-time Sector and subsector: Marketing | Marketing Salary: Negotiable Salary About Tate: Tate is a world class global data centre interiors design engineering and manufacturing business, operating as part of the Kingspan Group PLC which is valued at over $9bn. We are currently...