Senior Trading Compliance Associate Senior Trading Compliance Associate …

in Dublin, Leinster, Ireland
Permanent, Full time
Be the first to apply
in Dublin, Leinster, Ireland
Permanent, Full time
Be the first to apply
Posted by:
Natalie Lis • Recruiter
Posted by:
Natalie Lis
This is an ideal opportunity for individuals interested in pursuing a career in a fast paced, dynamic, and challenging workplace with highly motivated and intelligent professionals. In this role, you will be responsible for analysing trades, trade strategies, the impact of trades to client portfolios, and the implementation of rules and regulations. The Trade Compliance team is responsible for reviewing fixed-income and equity trades, on a pre and post trade basis, to ensure compliance with applicable restrictions. The Senior Associate will have broad exposure to the entire Investment Guideline Compliance process.


Key responsibilities include:

  • Analyzing transactions and portfolio holdings with respect to regulatory, client, and internal guidelines and calculating various risk parameters
  • Researching and addressing inquiries related to investment guidelines from the Trade Floor and other internal/external parties.
  • Confirming all trades are compliant by the end of each business day
  • Preparing various reports on a daily basis to relevant internal groups
  • Participating in numerous ad hoc projects tied to optimizing and automating the Trade Compliance process



  • Minimum of a Bachelor’s Degree (Accounting, Business, Finance or Economics preferred)
  • 5+ years of professional experience in compliance or the investment management industry
  • Knowledge of the global equity and fixed income markets, including an understanding of financial products such as bonds, equities, and derivatives.
  • Intermediate/advanced working knowledge of MS Excel.



  • Experience monitoring transactions in a compliance system is ideal 
  • Exposure to querying, particularly with SQL and Business Objects 
  • Experience with Bloomberg
  • CFA designation or active status in the CFA program is a plus



  • Have a strong sense of honesty and integrity 
  • Quick learner and adaptable to learn new processes, concepts, and skills
  • Maintaining a strong commitment to quality and attention to details; ensuring that relevant work product is complete, accurate and on time.
  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to face off across all levels of an organization in an effective and collaborative manner 
  • Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
  • Highly motivated self-starter with the ability to work collaboratively and independently
  • Desire to take initiative and contribute to the department and the organization
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