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:(Please contact us using
the "Apply for this Job Posting" box below).ie
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.
It&#**Apply on the website**;s not just business. It&#**Apply on the
website**;s Personal
An opportunity has arisen for an experienced Compliance Manager to
work as part of a Group Compliance team. This role will report into
the Group Regulation and Compliance function.
Key Responsibilities
* To identify, assess, monitor and report on compliance risk in two
key wealth management divisions of a MiFID firm within the Davy Group.
* To oversee and contribute to the Compliance Risk Assessment for
these divisions on an ongoing basis to ensure that the objectives,
focus and scope of compliance monitoring and advisory activities
remain valid.
* To ensure that the Compliance Monitoring Plan is continuously
reviewed and prioritised and that scheduled monitoring is undertaken
with findings reported and followed up on.
* To drive a strong compliance culture throughout the Group.
* To provide accurate, consistent and timely advice to the business
on an ongoing basis, including; responding to ad hoc queries;
providing inputs to projects; advising on new products and business
proposals; contributing to policy documents; and providing training as
appropriate.
* To liaise with regulatory bodies on matters ranging from
inspections to day to day queries.
* To be responsible for the collation of regulatory reports as
required.
* To lead and develop one or more compliance professionals.
* To report on a regular and timely basis to the Deputy Head of
Compliance.
* To prepare more formal quarterly updates for the Head of
Compliance for the purposes of reporting to the Risk & Compliance
sub-committee of the Board.
* To monitor upstream regulatory developments and assess impact,
participating in project groups to prepare for implementation and
communicating preparedness and risks as appropriate.
Requirements
* 5+ years working in a compliance team in an investment firm with a
thorough working knowledge of MiFID II, MAR and CPC and an in-depth
understanding of the regulatory requirements applicable to wealth
management and financial planning;
* Extensive experience of managing and influencing decisions at the
most senior levels;
* Professional Certificate in Compliance/Professional Diploma in
Compliance and/or a willingness to take exams in the future if
required.
* Third Level Degree in Business, Finance, Law or equivalent;
* Excellent ability to communicate effectively, both orally and in
writing to help educate, negotiate, gain consensus on decisions and
enforce results;
* Ability to self-motivate and work to tight deadlines in an
extremely fast paced environment are essential;
* Strength of character and a willingness to individually challenge
collective thinking; and
* Ability to concisely articulate alternative views under pressure.
_THE POSITION SET OUT ABOVE IS DEFINED IN THE FITNESS & PROBITY
STANDARDS ISSUED BY THE CENTRAL BANK OF IRELAND (?FITNESS & PROBITY
STANDARDS?) AS A ?CONTROLLED FUNCTION (CF)?, NAMELY CF2. IN
COMPLIANCE WITH THE FITNESS AND PROBITY STANDARDS APPLICABLE TO YOUR
POSITION, ANY OFFER OF EMPLOYMENT IS CONDITIONAL UPON YOU
DEMONSTRATING THAT YOU MEET THE FITNESS & PROBITY STANDARDS_ Description
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:(Please contact us using
the "Apply for this Job Posting" box below).ie
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.
It&#**Apply on the website**;s not just business. It&#**Apply on the
website**;s Personal
An opportunity has arisen for an experienced Compliance Manager to
work as part of a Group Compliance team. This role will report into
the Group Regulation and Compliance function.
Key Responsibilities
* To identify, assess, monitor and report on compliance risk in two
key wealth management divisions of a MiFID firm within the Davy Group.
* To oversee and contribute to the Compliance Risk Assessment for
these divisions on an ongoing basis to ensure that the objectives,
focus and scope of compliance monitoring and advisory activities
remain valid.
* To ensure that the Compliance Monitoring Plan is continuously
reviewed and prioritised and that scheduled monitoring is undertaken
with findings reported and followed up on.
* To drive a strong compliance culture throughout the Group.
* To provide accurate, consistent and timely advice to the business
on an ongoing basis, including; responding to ad hoc queries;
providing inputs to projects; advising on new products and business
proposals; contributing to policy documents; and providing training as
appropriate.
* To liaise with regulatory bodies on matters ranging from
inspections to day to day queries.
* To be responsible for the collation of regulatory reports as
required.
* To lead and develop one or more compliance professionals.
* To report on a regular and timely basis to the Deputy Head of
Compliance.
* To prepare more formal quarterly updates for the Head of
Compliance for the purposes of reporting to the Risk & Compliance
sub-committee of the Board.
* To monitor upstream regulatory developments and assess impact,
participating in project groups to prepare for implementation and
communicating preparedness and risks as appropriate.
Requirements
* 5+ years working in a compliance team in an investment firm with a
thorough working knowledge of MiFID II, MAR and CPC and an in-depth
understanding of the regulatory requirements applicable to wealth
management and financial planning;
* Extensive experience of managing and influencing decisions at the
most senior levels;
* Professional Certificate in Compliance/Professional Diploma in
Compliance and/or a willingness to take exams in the future if
required.
* Third Level Degree in Business, Finance, Law or equivalent;
* Excellent ability to communicate effectively, both orally and in
writing to help educate, negotiate, gain consensus on decisions and
enforce results;
* Ability to self-motivate and work to tight deadlines in an
extremely fast paced environment are essential;
* Strength of character and a willingness to individually challenge
collective thinking; and
* Ability to concisely articulate alternative views under pressure.
_THE POSITION SET OUT ABOVE IS DEFINED IN THE FITNESS & PROBITY
STANDARDS ISSUED BY THE CENTRAL BANK OF IRELAND (?FITNESS & PROBITY
STANDARDS?) AS A ?CONTROLLED FUNCTION (CF)?, NAMELY CF2. IN
COMPLIANCE WITH THE FITNESS AND PROBITY STANDARDS APPLICABLE TO YOUR
POSITION, ANY OFFER OF EMPLOYMENT IS CONDITIONAL UPON YOU
DEMONSTRATING THAT YOU MEET THE FITNESS & PROBITY STANDARDS_
We need : English (Good)
Type: Permanent
Payment:
Category: Others
