Compliance Analyst

Compliance Analyst

Client:

• Abacus Group are working with a leading global inter-dealer broker who are looking to recruit for a Compliance Analyst for their Belfast office.  Our client proudly boasts month on month growth last year and due to this continued growth are looking to add to their expanding team. You will be joining a company where you are not just a number and are able to stamp your own mark on the role. 

Salary/ Benefits:

• Circa £26k, Bonus, Income Protection, Private Medical Insurance

Role:

• Processing of FCA Senior Management Function documentation.
• Effectively follow steps designed for end-to-end processing of brokers Certification under SMCR.
• Providing access to professional qualifications and training through learning providers.
• Assigning and chasing of Compliance training across EMEA and maintenance of those records.
• Reconciliation of PA Dealing requests and associated contract notes.
• Reconciliation and processing of regulatory/training invoices.
• Collate and produce monthly EMEA Compliance Management Information.
• Administration of Exchange Registrations (e.g. Eurex, ICE, CME).
• Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues.
• Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework.
• Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals.
• Assisting with ad hoc work, investigations and project issues as required.
• Ensuring that compliance documentation and procedures in respect of individual responsibilities are regularly reviewed and updated.
• Remaining informed of changes to the regulatory environment.

Requirements:

• Previous experience gained working in a financial services firm (investment banking) undertaking Compliance Administration essential.
• Knowledge of the FCA’s Senior Managers and Certification Regime (SMCR) preferred.
• Delivering Business Success – Desiring Quality – pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets goals and targets for self which improve upon previous performance and constantly strive to exceed existing quality and service standards.
• Providing Direction – Thinking Strategically – Understands own business’ targets and goals and fully understands the competitive context in which it operates and looks for ways to add value to the organisation. Periodically steps back from immediate operational concerns to check progress against broader goals and their fit with the organisation’s strategic objectives.

Primary Contact:

• Nicky Strutt – for a more detailed job spec

Next Steps:
Please submit your application or speak to a specialist consultant from the Abacus team on 0044 (0) 28 9031 3157 for a confidential discussion. We aim to respond to all inquiries within 4 business hours.
The team at Abacus manages a range of permanent and contract positions throughout Northern Ireland, the UK and the Republic of Ireland. If you are experienced and/or professionally qualified we can support your job search.
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