Client Asset Operations Oversight - Senior Associate

Davy; Dublin; On-site; EUR 95,000 - 120,000; Full time

Job summary

Davy is seeking a Senior Associate to join the Client Asset Oversight Team. The role provides independent oversight of CAR, MiFID requirements, and client asset obligations, ensuring protection of client assets through rigorous monitoring and analysis.

You will work with Risk, Compliance, Operations, Finance and Internal Audit to ensure controls operate effectively and regulatory obligations are met, while engaging with regulators as required.

Qualifications

• Knowledge of MiFID, CAR, and client money regulations preferred.
• Experience in control, oversight, risk, compliance, audit, or client asset environments.
• Excellent analytical skills with ability to interpret data and identify trends.
• Strong written and verbal communication; ability to influence stakeholders.

Responsibilities

• Perform oversight of client asset processes, controls, reconciliations, calculations and regulatory returns.
• Review activities for CAR, MiFID compliance and internal policies.
• Analyze data from multiple sources to identify trends, anomalies and risks.
• Conduct oversight reviews and thematic assessments of client asset processes and controls.
• Investigate issues, exceptions and incidents; determine root causes and remediation actions.
• Prepare management information, oversight reports and regulatory submissions.
• Engage with stakeholders across the business to drive improvements in governance and controls.
• Support regulatory interactions and respond to information requests (Central Bank of Ireland).
• Monitor developments in client asset and MiFID requirements.
• Contribute to projects and continuous improvement initiatives.

Skills

MiFID knowledge

CAR knowledge

Risk management

Analytical skills

Communication skills

Stakeholder management

Attention to detail

Independent thinking

Education

Third-level qualification in Business/Finance/Economics/Accounting/Law

Job description

About us

At Davy,it’sthe unique talents of all our people that have been the foundations of our success for100 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,providinga 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 to join the Client Asset Oversight Team as a Senior Associate. The team is responsible for providing independent oversight of Davy’s compliance with the Client Asset Requirements (CAR), MiFID regulations, and associated client asset obligations. The role plays a key part in ensuring the protection of client assets through effective monitoring, analysis, challenge, and engagement across the business.

The successful candidate will work closely with key stakeholders across the organisation, including Risk, Compliance, Operations, Finance, Internal Audit, and regulatory bodies, to ensure that client asset controls operate effectively and that regulatory obligations are consistently met.

In the role, the successful candidate will:

• Perform detailed analysis and oversight of client asset processes, controls, reconciliations, calculations and regulatory returns.
• Review and challenge business activities to assess compliance with the Client Asset Requirements (CAR), MiFID regulations and internal policies.
• Analyse data from multiple sources to identify trends, anomalies, potential breaches, control weaknesses and emerging risks.
• Conduct oversight reviews and thematic assessments of client asset processes and controls.
• Investigate issues, exceptions and incidents, ensuring root causes are identified and appropriate remediation actions are implemented.
• Prepare clear, concise and insightful management information, oversight reports and regulatory submissions.
• Engage constructively with key stakeholders across the business to drive improvements in client asset governance and control frameworks.
• Support regulatory interactions, including responding to information requests and engagement with the Central Bank of Ireland.
• Monitor regulatory developments and assess the impact of changes to client asset and MiFID requirements.
• Contribute to projects, change initiatives and continuous improvement activities impacting client asset processes and controls.
• Promote a strong client protection culture and ensure client outcomes remain at the centre of decision-making.

About you

We are looking for a candidate with the following experience and skills:

• Relevant third-level qualification in Business, Finance, Economics, Accounting, Law or a related discipline.
• Strong understanding of MiFID, Client Asset Requirements (CAR), client money regulations, or a willingness to rapidly develop expertise in these areas.
• Experience in a control, oversight, risk, compliance, audit, regulatory or client asset environment.
• Excellent analytical skills with the ability to interpret complex datasets, identify trends and draw meaningful conclusions.
• A naturally inquisitive mindset with the confidence to ask challenging questions and investigate issues thoroughly.
• Exceptional attention to detail and a commitment to delivering high-quality, accurate work.
• Strong understanding of risk management principles and regulatory compliance frameworks.
• Excellent written and verbal communication skills, with the ability to present findings clearly and effectively.
• Ability to build effective working relationships and influence stakeholders at all levels across the organisation.
• Strong organisational skills and the ability to manage multiple priorities whilst meeting tight deadlines.
• Demonstrable commitment to client protection and maintaining the highest standards of integrity and regulatory compliance.
• Self-motivated team player with the ability to work independently, take initiative and contribute positively to team objectives.

What Success Looks Like

The successful candidate will demonstrate:

• A strong client protection mindset.
• The ability to challenge constructively and independently.
• Sound judgement and risk awareness.
• Curiosity and a desire to understand the “why” behind processes and outcomes.
• A proactive approach to identifying opportunities for improvement.
• The confidence to engage with senior stakeholders and regulators where required.

What we offer

At Davy, our people are our biggest investment. In today’s fast-moving world, we knowitsimportant to feel secure and empowered.That’swhy 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, emotionalwellbeingand 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 competitiveremunerationpackage to include salary, bonus,pensionand a host ofadditionalbenefits 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 youdon’tmeetall ofthe 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 toparticipatein the interview process. If yourequireany 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.

Davy Group is a member of the Bank of Ireland Group.