Core Compliance Associate

Core Compliance Associate

Client:

Abacus Group 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.

Why this role?

• Generous salary depending on experience
• Bonus
• Gym Subsidy or access to onsite gym
• Private Medical Insurance
• Career progression opportunities
• Work for a firm where you’re not just a number and your input is valued

Role:

• Processing of FCA Senior Management Function documentation. 
• Effectively follow steps designed for end to end processing of brokers Certification under SMCR
• Review outcome of attestations submitted by brokers and assess if any follow up or escalation is required
• Providing access to professional qualifications and training through learning providers.
• Assigning and chasing of Compliance training across EMEA and maintenance of those records
• 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)
• Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues.
• Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework.
• Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals.
• 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. 

Requirements:

• Previous experience gained working in a financial services firm undertaking Compliance Administration essential.
• Knowledge of the FCA’s Senior Managers and Certification Regime (SMCR) preferred.
• Delivering Business Success – Desiring Quality – pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards.
• 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.
• Flexibility to take on other team roles as the workload demands
• Ability to work under pressure, responding to urgent queries accurately and effectively.

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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