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Compliance Monitoring Associate
Date Posted02 December, 2020
Compliance Monitoring Associate – 12-month Contract
- 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.
- 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.
- 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
- Excellent basic salary on offer and great reward package!!
- Nicky Strutt
Please submit your application or speak to a specialist consultant in Abacus on 02890313157 for a confidential career discussion.
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