Trade Compliance Specialist - Asset Manager

The Panel is currently engaged to source a Trade Compliance Specialist on behalf of a reputable Asset Manager in Dublin city centre on a permanent basis

The purpose of this role is to is to ensure adherence with the compliance-monitoring programme, using tools and processes implemented to maintain compliance with relevant Regulations, primarily MiFID II and Market Abuse Regulations.

This role will require ongoing review of investment trading activity and controls, including regular interaction with the trading team, and occasionally with Portfolio Managers as well as monitoring of aggregated holdings in individual stocks and the reporting of threshold limits to issuers and relevant regulators

Responsibilities:

• Performance of monitoring controls including investigations.
• Support the monitoring framework to ensure compliance with Market Abuse Regulations and trade surveillance requirements under MiFID II.
• Ensure all relevant Trade Surveillance registers, reports and processes are maintained to a high standard and issues are escalated to Compliance management.
• Perform ongoing monitoring of Best Execution on trading performed locally, and oversight on trading performed globally for Ireland activities.
• Maintain the compliance registers to the standard expected of Central Bank of Ireland.
• Assist in the update of relevant Market Integrity policies and procedures and ensure the implementation of policies and processes as required.
• Contribute to compliance projects / business initiatives as and when required.
• Analysis of Threshold Crossing alerts on listed securities generated by company system
• Disclosure of the Threshold Crossings to the issuers and / or regulators when verified

Requirements:

• Minimum 5+ years’ experience in Financial Services preferably with exposure to Asset Management or front office compliance
• Experience / Knowledge of MIFID II and MAR an advantage.
• Strong knowledge of Financial Instruments
• Excellent Excel skills.

The salary for this role is negotiable depending on experience and includes an excellent bonus and benefits package

Please contact Liam Murphy if you meet the key criteria and wish to apply