Compliance Monitoring Associate – Graduate Level

Compliance Monitoring Associate – Graduate level

Client:

• Abacus Group are working with a leading global inter-dealer broker to recruit for a graduate to join their Compliance Monitoring team. You will be working with a company going through considerable growth over the next year. This company boasts an outstanding work environment, highly renowned for their respectful culture and approach towards clients.

Why this role?

• Generous salary depending on experience
• Bonus
• Gym Subsidy or access to onsite gym
• Private Medical Insurance
• Career progression opportunities
• Work for a firm where you’re not just a number and your input is valued

Role:

• Conducting ‘level one’ assessment of alerts triggered from Communications Surveillance systems.
• Escalating alerts to the Core Surveillance team in London that require further investigation.
• Pro-actively making recommendations on the tuning of alerts within the Compliance Surveillance systems.
• Performing monitoring controls as per Compliance Controls Framework.
• Assisting with the compilation of pre-visit information for Compliance Desk Reviews.
• Assisting other Compliance Officers in real and post trade monitoring of compliance with relevant Exchange rules.
• Assisting with ad hoc work, investigations and project issues as required.
• Remaining informed of changes to the regulatory environment and in conjunction with the Monitoring Team.

Requirements:

• Recent graduate within Finance, Economics, Business, Maths, Law
• Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.)
• Excellent communication and interpersonal skills.
• Ability to work under pressure, responding to urgent queries accurately and effectively
• Flexibility to take on other team roles as the workload demands

Primary Contact:

Contact Nicky Strutt for a more detailed 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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