Core Compliance Associate – Graduate

• Core Compliance Associate

  Abacus Careers are working with a leading global inter-dealer broker to recruit for a Core Compliance Associate to join the 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. This role will be a great fit for a recent graduate with a year placement experience in a similar role.

  Why this role?

  • Generous salary depending on experience
  • Bonus
  • Private Medical Insurance
  • Career progression opportunities
  • Firm going through growth
  • Work for a firm where you’re not just a number and your input is valued

  Role:

  • Developing knowledge of the Senior Managers & Certification regime
  • Assessment of the responses on broker attestations to determine follow up actions
  • New Joiner processing; training set up, sending of policy documents, competency assessments
  • Providing access to professional qualifications and training through learning providers
  • Processing of NFA registration documentation 
  • Review of PA Dealing requests and associated contract notes
  • Initial training across FCA & NFA registrations and Exchange access
  • EMEA Compliance training processes, including assigning training, chasing completion and record keeping.
  • Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals
  • Collating evidence of tasks that have been conducted as per Compliance Control Framework
  • Completion of tasks as dictated by the Control Framework
  • Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues.
  • Assisting with ad hoc work, investigations and project issues as required.
  • Remaining informed of changes to the regulatory environment.
  • Taking minutes and providing update documents for working groups and team meetings

  Requirements:

  Essential

  • Delivering Business Success – Desiring Quality – pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets goals and targets for self which improve upon previous performance and constantly strive to exceed existing quality and service standards.
  • Ability to work under pressure, responding to urgent queries accurately and effectively.
  • Flexibility to take on other team roles as the workload demands
  • Recent graduate with 1 year relevant placement experience

  Desired

  • Providing Direction – Thinking Strategically – Understands own business’ targets and goals and fully understands the competitive context in which it operates and looks for ways to add value to the organisation. Periodically steps back from immediate operational concerns to check progress against broader goals and their fit with the organisation’s strategic objectives.
  • Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.).
  • Excellent communication and interpersonal skills.

  Primary Contact:

  Contact Nicky Strutt for more information

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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