Compliance Associate

REF: 905855_1606923158

02/12/2020
  • Position: Permanent
  • Salary: £20000 to £30000
  • Location: Greater Belfast

MCS are proud to be partnering with a leading company in Belfast who are seeking to recruit a Compliance Monitoring Associate for their Belfast based team.

The Client

Based in Belfast centre my client have a fantastic opportunity for a Compliance Monitoring Associate to join their already successful team on a 12-month full time contract.

The Compliance Monitoring Associate will work within the team responsible for the review of alerts triggered from the firm's surveillance system. The team is responsible for proactively engaging with the business to provide clear advice and support to;

  • Ensure the group continues to meet all applicable regulatory requirements
  • Protect the group and its staff from regulatory sanction
  • Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence

Responsibilities:

The Compliance Monitoring Associate will undertake daily and periodic monitoring work, proactively investigating as necessary, and escalate any matters as required.

Duties include:

  • Conducting 'level one' assessment of alerts triggered from Trade/Order and Communications Surveillance systems
  • 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

The Person

  • Previous practical experience gained in a monitoring function within a financial services firm
  • Experience of working in a broking/trading capacity (desirable)
  • 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
  • Flexibility to take on the other team roles as the workload demands

The Offer

  • £25,000 plus excellent benefits
  • Pension plan
  • Health care with BUPA
  • 23 days holiday + stats

To speak in absolute confidence about this opportunity please send an up to date CV via the link provided or contact Matthew Woods, Specialist Consultant at MCS Group 028 9023 5456

Even if this position is not right for you, we may have others that are. Please visit MCS Group to view a wide selection of our current jobs www.mcsgroup.jobs