Job Type: Permanent
Date Posted: 14/10/2019
Compliance Trade Surveillance Officer
- Abacus Group are pleased to be recruiting for a Compliance Trade Surveillance Officer on behalf of an expanding global firm who specialise within the financial, energy and commodities markets.
- Assisting with the processes undertaken by the Employee Compliance function including, but not limited to:
- Processing of FCA Approved Persons documentation, including Significant Influence Functions and Withdrawals (Standard and Qualified).
- Providing access to professional qualifications and training through learning providers.
- Assigning and chasing of Compliance training across EMEA and maintenance of those records
- New Joiner processing; training set up, sending of policy documents, competency assessments
- 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)
- Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework.
- 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.
- Experience of working in a KYC/AML/Compliance team.
- Minimum 2 years experience dealing with trade surveillance.
- A broad base of financial services knowledge and experience
- Generous basic depending on experience.
Please submit your application or speak to a specialist consultant in Abacus on 02890313157 for a confidential career discussion. Did you know? Abacus is NI’s only Highly Rated Recruiter with 4.5 Stars for customer satisfaction (Independent review site Feefo).
If you think you have the right skills to join our team, then get in touch. If you know someone returning/re-locating to NI then www.belfastforlife.com holds the information on quality of life, cost of living etc.