Fitness and Probity and Regulation Specialist

1 week ago

Dublin, Ireland Davy Full time

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 role

An exciting opportunity has opened up for a Fitness & Probity and Regulation specialist.  This role will lead the execution and the day-to-day management of the Fitness & Probity and Individual Accountability regimes across Davy. The primary focus will be to ensure Davy meets its regulatory obligations and commitments under these regimes. In addition to fulfilling these requirements the role holder will also participate in the following risk and regulation activities

In this role, you will:

  • Support day to day management of all fitness and probity assessments, including PCF applications,
  • Lead annual attestation and certification of all individuals in scope of the Fitness and Probity Regime.
  • submit all relevant documents required to the regulatory body, including updating the F&P register.
  • Maintain fitness and probity register
  • Work with Senior Managers to maintain IAF life cycle of activities and ensure all relevant procedural documentation and requirements are met and remain up to date including oversight and assurance of:
    • Management Responsibility Maps
    • Statement of Responsibility and
    • Reasonable Steps frameworks.
  • Act as key point of contact for Fitness and Probity and IAF queries
  • Support the Risk Control Self Assessment (RCSA) for Human Resources to ensure IAF and F&P life cycle procedures are maintained with relevant controls and adherence to relevant risk policies.
  • Perform assurance testing in the performance of HR controls.
  • Keep up to date with regulatory developments to ensure compliance with all relevant regulation including remuneration practices and Corporate Sustainability Reporting Directive (CSRD )
  • Own Conduct Standards and Code of Conduct training programmes, ensuring they are maintained up to date
  • Engage with 2nd and 3rd line as required

 

Requirements

About you

We are looking for somebody who has the following background and skills: 

  • Graduate calibre; A Legal, or Compliance qualification would be beneficial
  • An understanding of financial services sector and it’s practices
  • An understanding of Financial Services regulation, having working in a Compliance or Risk role
  • Knowledge of F&P and/or regulatory operational processes, with a strong interest in understanding of legislative and regulatory requirements
  • Strong inter-personal and communication skills with experience in dealing with senior stakeholders and regulatory bodies
  • Excellent written and verbal presentation skills,
  • Proficiency in Word, Outlook, Excel and Powerpoint
  • Ability to learn quickly, understand and apply critical judgement on a wide range of issues
  • Proven ability to work in a fast-paced environment, keeping multiple tasks at differing stages progressing in a controlled manner
  • Demonstrates good understanding of risk and risk management
  • A flexible team player who promotes and implements continuous improvement initiatives across the 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-winning 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. 

 

Important Information 

Davy is an equal opportunities employer, committed to fostering an inclusive and diverse workplace. We value diversity in both background and experience, and even if you don’t meet all of the requirements outlined in the job description, we still encourage you to apply. We review all applications received. As part of our commitment to creating an accessible environment, we want to ensure that everyone has an equal opportunity to participate in the interview process. If you require any reasonable accommodations, please let us know, and we will do our best to make the necessary arrangements.  

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. 

 

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