Capital Markets Compliance Senior Associate

Davy(7 months ago)

HybridFull TimeSenior$118,324 - $158,837 (estimated)Compliance

About this role

Senior Associate within Davy’s Capital Markets compliance team, part of a long-established Irish wealth and capital markets firm. The role sits in a specialist compliance function supporting oversight of trading and regulatory matters across multiple jurisdictions. The position contributes to maintaining regulatory standards and supporting firm-wide compliance governance.

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Required Skills

Regulatory Compliance
Trade Surveillance
Market Abuse
MiFID II
Transaction Reporting
Investigation
Communications Monitoring
Stakeholder Liaison
Microsoft Excel
Power BI

Qualifications

3rd Level Degree (Business/Finance/Law)
Audit/Legal/Compliance Qualification
Fitness & Probity CF3
Fitness & Probity CF4
Fitness & Probity CF10
Minimum Competency Code

About Davy

davy.ie

Davy Group is a leading financial services firm in Ireland, specializing in Wealth Management and Capital Markets. It provides a comprehensive range of services, including financial and retirement planning, as well as corporate finance, equities, and investment advice. Davy is recognized for its dedicated approach to client relationships and its commitment to delivering tailored financial solutions. By combining expertise with innovative strategies, Davy aims to support clients in achieving their financial goals.