Capital Markets Compliance Senior Associate

<p>The Davy Group is Ireland’s leading provider of wealth management, asset management, capital markets and financial advisory services. You can read more about our growing company here: <a href="http://www.davy.ie/" rel="nofollow noreferrer noopener" target="_blank"></a><a href="http://www.davy.ie/" rel="nofollow noreferrer noopener" target="_blank">www.davy.ie</a>. We value our employees as much as our clients, and are committed to embracing diversity in all its forms recognising that the breadth of thought, perspective and experience that emerges from a diverse workforce is essential to deliver on our core values. Our city centre location, free access to our onsite gym and fitness studio, and impressive social calendar are just some of the unique benefits our employees enjoy while working at Davy. Performance related bonuses, generous pension contributions and investment in your further education demonstrate the value we place in developing and rewarding our staff.</p><p>An opportunity has arisen within the Davy Group dedicated Capital Markets compliance team for a Senior Associated. This team oversee the trading activities of J&amp;E Davy, a member of the Davy Group, and monitor compliance with the relevant legal and regulatory requirements across all relevant jurisdictions (Market Abuse Regulation and MiFID/MiFIR) as well as industry best practice. This position requires a motivated and adaptable self-starter who is comfortable challenging colleagues, implementing practical solutions, a logical thinker with proven experience of delivering work to tight deadlines and team player who is also comfortable taking individual ownership of a number of activities. Applicants will be expected to demonstrate knowledge of applicable regulation and regulatory expectations.</p> <p>A key pillar of the Davy Group business is its capital markets business. Davy is a market leader in the execution and trading of Irish equities and fixed income. We deliver world class outcomes to corporate and institutional clients through leading research and insights, expert execution and our strong access to distribution networks. We provide expert equity, debt, strategic and sustainability advice with a deep understanding of global markets, innovative capital raising solutions and specialist advisory capabilities.</p> <p><strong>Key Responsibilities of this role will include:</strong></p> <ul> <li>Monitor and analyse trade surveillance alerts as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications;</li> <li>Support the firm with its obligations under the Market Abuse Regulation such as insider lists, market soundings and investment recommendations;</li> <li>Support the firm with its obligations under the Rules of Trading Venues (LSE and Euronext) and with the Rules of the Takeover Panel; </li> <li>Monitoring compliance with the firm’s MiFID II and MiFIR obligation for example Best Execution, Transaction Reporting and Trade Reporting;</li> <li>Undertake pre –and – post trade checks for staff dealing;</li> <li>Providing regulatory guidance to the Institutional Equity and Fixed Income Desks, Research and Corporate Finance group;</li> <li>Providing compliance training as necessary;</li> <li>Liaising with Central Bank and FCA as well as Takeover Panel, Euronext and LSE;</li> <li>Analyse new regulations to determine their impact on the firm, implementing the necessary changes;</li> <li>Assist management with designated compliance projects and assignments and act as coordinator where required; and</li> <li>Assist management with the technology change agenda and supporting the enhancement of automated monitoring systems.</li> </ul> <ul><li>Comply with the Risk and Compliance frameworks, policies and procedures associated with the role.</li></ul><p><strong>Requirements</strong></p><ul> <li>Relevant 3rd level Degree (Business, Finance, Law, or equivalent) and /or audit/legal/compliance qualification.</li> <li>2+ years working in a financial services industry with a good working knowledge of the regulatory requirements applicable to capital markets and/or corporate finance</li> <li>strong desire to work in a compliance team with good investigative instincts and background;</li> <li>An understanding of markets and trading is desirable;</li> <li>Strong communication skills both written and verbal;</li> <li>Excellent attention to detail;</li> <li>Strong information technology capability with a high level of competence in Microsoft Office products including Word, Excel, Outlook, Powerpoint and ideally Power BI.</li> <li>Experience in the development and implementation of system enhancements including the documentation of business requirements</li> <li>Interested in further developing a specialist compliance expertise in respect of capital markets, including MIFID, Market Abuse Regulati