Compliance & Risk Associate
2 weeks ago
Davy UK is one of Northern Ireland’s leading financial advice, wealth management and capital markets firms. Based in Belfast with an office in London, our purpose is to deliver world-class outcomes for our private and professional clients.
An opportunity has arisen for an experienced Compliance/Risk professional; or for an ambitious graduate to apply their analytical mind to support the firm’s established Compliance & Risk function, based in the Belfast office. The successful candidate will have an opportunity to develop their skills in a wide range of advisory, assurance, reporting and approval duties and will expand their knowledge of UK financial services regulation and risk management. Working within an established ‘second line of defence’ team, the post will attract experienced professionals who can apply their skills and knowledge from a previous regulatory or similar position in a financial services environment. The post may equally attract an ambitious law, business management or similar graduate seeking a career in a dynamic and demanding business environment .
Why work with us
There are lots of benefits to working at Davy. Our city centre location, free access to our onsite gym and fitness studio, impressive social calendar, clear CSR programme, performance related bonuses, and investment in your further education demonstrate the value we place in developing and rewarding our staff. But above all, we have a clearly-defined purpose and culture which guide everything we do. We hope more than anything else that it is our diverse, welcoming and positive environment that makes Davy such a great team to be part of. Please note this role is based in Belfast and we support hybrid working.
Key Responsibilities:
- Advise and assist Davy UK staff in complying with the firm’s regulatory obligations;
- Support for staff training in compliance-related matters;
- Reviewing and advising on the establishment of policies and procedures, based on thorough research of regulations and best practice;
- Support the firm’s controls for countering the risks of money laundering and provide timely advice and decisions to the business;
- Review regulatory publications and provide advice to the business on matters arising;
- Support the Compliance & Risk function in preparing for, and embedding of, new and changing regulations;
- Meeting preparation; and supporting completion of relevant actions arising.
- Comply with the Risk and Compliance frameworks, policies and procedures associated with the role.
- Third level degree in Law, Business, Finance or equivalent; or 3+ years’ experience working in a regulatory, risk, audit or management position within a financial services environment;
- Demonstrable experience of SMCR, MIFID II, Consumer Duty and an understanding of the FCA approach and guidance to Wealth Management and Investment firms
- Attention to detail and good organisational skills;
- Willingness and ability to challenge and to influence;
- Ability to self-motivate and to work to deadlines;
- Excellent interpersonal skills and strong communication skills;
- Motivated to learn quickly, to apply knowledge and take on responsibility.
Equal Opportunities
Davy wishes to ensure equal opportunity is given to all job applicants. This company will not discriminate on the grounds of race, gender (including gender reassignment status), sexual orientation, religious belief, political opinion, marital status, age or disability.
Davy Group is a member of the Bank of Ireland Group.
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