Compliance Monitoring Associate

About us 

At Davy, it’s the unique talents of all our people that have been the foundations of our success for 100 years. As we continue to grow, so do you. Because you are not just part of our team – you are a key player in shaping our future.  

At Davy, you are the difference.   

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 arisen within the Davy Group Compliance Monitoring team for a Compliance Associate. This team monitors compliance with the relevant legal and regulatory requirements across all relevant jurisdictions 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.

In the role, the successful candidate will: 

• Monitor compliance with Compliance Framework, including Policy & Procedures Review, as it applies to Davy’s business;
• Assist with monitoring compliance with the firm’s regulatory obligations
• Monitor and analyse trade surveillance alerts as well as undertaking the surveillance of electronic communications (e.g. e-mail, Bloomberg etc.) and telephone communications;
• Support the firm with its obligations under the Rules of Trading Venues (LSE and Euronext) and with the Rules of the Takeover Panel;
• Involvement in development of new tests and execution of monitoring program as agreed from time to time;
• Maintenance of records and continuous improvement of processes and procedures;
• Administrative compliance support as required.
• Assist management with designated compliance projects and assignments and act as coordinator where required; and
• Comply with the Risk and Compliance frameworks, policies and procedures associated with the role.

About you  

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

• Relevant 3rd level Degree (Business, Finance, Law, or equivalent) and /or audit/legal/compliance qualification.
• 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
• Strong desire to work in a compliance team with good investigative instincts and background;
• An understanding of markets and trading is desirable;
• Strong communication skills both written and verbal;
• Excellent attention to detail;
• Strong information technology capability with a high level of competence in Microsoft Office products including Word, Excel, Outlook, Powerpoint and ideally Power BI.
• Experience in the development and implementation of system enhancements including the documentation of business requirements
• Interested in further developing a specialist compliance expertise in respect of capital markets, including MIFID, Market Abuse Regulation and Stock Exchange rules
• Self-organised, with the ability to deal with multiple stakeholders on different projects simultaneously.

What we offer  

At Davy, our people are our biggest investment. In today’s fast-moving world, we know it’s important to feel secure and empowered. That’s why Davy benefits support you through all of life’s stages, offering health and wellness, flexible working options, flexible benefits allowance, learning and development opportunities, through to assisted retirement planning.    

Health and Wellbeing   

Psychological safety, emotional wellbeing and support are a priority at Davy. We offer a comprehensive Employee Assistance Programme (EAP) and mental health first aid. Our Sports & Social teams promote physical wellbeing and social connection.   

Reward and Recognition   

We offer a competitive remuneration package to include salary, bonus, pension and a host of additional benefits to protect you and your family when it matters most.   

Growth and Development   

Our award-winning L&D function supports you and your growth at Davy. We offer a comprehensive range of professional and personal development opportunities. Our culture supports learning, and we encourage you to explore more at Davy.   

Positive Workplace   

Our workplace is inclusive, diverse, and offers everyone a sense of belonging. We are flexible and continue to support a hybrid working model. You will get to be your best at Davy.   

Values and Culture   

Exceptional client outcomes delivered by a world class team, underpinned by our core Davy values – One Team, Client Success, and Proud Legacy.    

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.