Trade and Portfolio Compliance Officer

Mediolanum International - Ireland; Dublin; On-site; EUR 60,000 - 90,000; Full time

Job summary

Mediolanum seeks an experienced Trade & Portfolio Compliance Officer to join the Compliance team in Dublin. The role ensures investment portfolios comply with regulatory requirements, prospectus, and client mandates while supporting the enhancement of the compliance framework.

You will engage across investment management, trading oversight, data systems, and regulatory interpretation, gaining exposure to pre-trade and post-trade controls and portfolio monitoring.

Qualifications

• An analytical thinker who understands regulatory requirements and how to implement them.
• Quick learner who can follow instructions and work independently when needed.
• Highly organized and able to manage multiple priorities and urgent issues.
• Attention to detail in all aspects of work and relationships.
• Ability to lead large projects and develop the compliance framework over time.

Responsibilities

• Pre-trade compliance review and release of in-house trading across Equities, Fixed Income, and Quantitative Investment.
• Post-trade and end-of-day compliance review of portfolios and fund mandates.
• Manage and escalate portfolio exceptions and engage with stakeholders to resolve.
• Write and maintain compliance rules within the OMS compliance engine.
• Build and oversee portfolio compliance rules on portfolio data in Snowflake.
• Review and integrate market and vendor data for ongoing monitoring rules.
• Advise management on regulatory interpretation and changes affecting portfolio compliance.
• Monitor Best Execution, Market Abuse, and Sustainability.

Skills

Analytical thinking

Quick learner

Highly organized

Attention to detail

Independent on large projects

Education

Bachelor's degree in a relevant field

Tools

MS Excel (macros & VBA)

Power BI

Job description

We are seeking an experienced Trade & Portfolio Compliance Officer to join the Compliance team at Mediolanum.

This role will play a key part in ensuring that the Investment portfolios managed by Mediolanum International Funds Ltd are operated in line with applicable regulatory requirements, prospectus and investment guidelines, and client mandates.

This is an excellent opportunity to take on a broad, visible and engaging role within a growing asset management firm in Dublin. The position offers exposure across investment management, trading, delegate oversight, systems, data and regulatory interpretation, enabling the successful candidate to develop as a subject matter expert in portfolio compliance while contributing directly to the ongoing enhancement of the firm’s compliance framework.

Duties and responsibilities will include, but not limited to the following:

• Pre-trade compliance review and release of in-house trading across the areas of Equities, Fixed Income and Quantitative Investment.
• Post-trade and end-of-day compliance review of the entire investment portfolio across in-house and delegated fund mandates as well as our insurance products.
• Management and escalation of any portfolio exceptions arising, including engaging with stakeholders to resolve.
• Write and maintain the compliance rules within the compliance engine within the OMS system.
• Build, maintain and oversee portfolio compliance rules on portfolio data within Snowflake.
• Review, interrogate and integrate market and vendor data for inclusion in ongoing portfolio monitoring rules.
• Support and to provide advice to management regarding regulatory interpretation, changes and business developments impacting the portfolio compliance activities.
• Best Execution, Market Abuse and Sustainability monitoring.
• Review and investigate conflicts of interest arising from portfolio investment.
• Review and approve Personal Account dealing requests, in line with the Firms policy.
• Review, interpret and advise on the amendment of fund documentation
• Support the on-boarding of delegate investment managers.
• Prepare and distribute Intra-group MIS and reporting regarding portfolios.
• Board reporting and MIS.
• Implement and maintain any relevant operational procedures in respect of the trade compliance activities performed in line with regulatory requirements and best practice.
• Ad-hoc projects, including ongoing systems and process enhancement.

Skills and Competencies:

• An analytical thinker who understands the regulatory requirements and how to implement them in a practical manner, while ensuring the regulatory obligations are fully met.
• Quick learner and assertive individual who can act by following instructions and act independently when appropriate.
• Highly organized individual who can self-manage multiple priorities, routine work, and urgent issues as they arise. The ideal candidate is focused on resolving issues in a pro-active way and in a timely way.
• Display Attention to Detail in all aspects of work and relationships.
• Ability to work independently on large projects which are key to the development and progression of the overall compliance framework.
• Developing and managing relationships both internally and externally, to become an established subject matter expert on portfolio compliance.

Qualifications and Experience:

• A Bachelors Degree in a relevant field.
• At least 4 years work experience in a compliance within the financial services industry.
• Understanding of Front, Middle and Back Office controls.
• Awareness of financial services products, investment management and knowledge of the regulatory environment as it pertains to the asset management industry.
• Good knowledge of the UCITS and AIFMD rules as well as the general regulatory environment as it pertains to an Irish regulated management company.
• Experience with coding and troubleshooting compliance rules as required for monitoring regulatory requirements, prospectus and investment guidelines.
• Proficient in use of MS excel including macros and VBA with the ability to interpret data effectively to support decision making.
• Experience using Power BI to monitor compliance metrics and analyse large data sets for regulatory reporting and risk assessment.
• Desirable to have experience with prompt engineering for the monitoring and interrogating of portfolios.