Compliance Monitoring Associate

Compliance Monitoring Associate – 12-month Contract

Client:

• Abacus Group are working with a leading global inter-dealer broker to recruit for a Compliance Monitoring Associate on an initial 12-month fixed term contract to join the Belfast team. This role will suit someone who has recently been made redundant and keen to get back into work asap.

Role:

• 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.
• Recording findings from 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:

• Previous practical experience gained in a monitoring function within a financial services firm.
• Experience of working in a broking / trading capacity
• Knowledge of financial products within Commodities, Interest Rates, Fixed Income and Equities asset classes.
• Understanding of market abuse and the risks associated with it.
• 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

Salary:

• Excellent basic salary on offer and great reward package!!

Primary Contact:

• Nicky Strutt

Next Steps:

Please submit your application or speak to a specialist consultant in Abacus on 02890313157 for a confidential career discussion.

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