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Compliance Monitoring Associate





Not disclosed

Job Type


Date Posted

02 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!!

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.

The team in Abacus manages a range of permanent, contract, and temporary appointments throughout the UK and Ireland. You can find our terms and conditions and Privacy Policy on www.abacus.careers

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