Compliance Monitoring Associate (Entry Level Role)
Role Overview
The Compliance 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
The role sits within the TP ICAP Belfast office primarily responsible for the ‘level one’ review of alerts triggered from the firm’s surveillance systems. The Compliance Monitoring Associate will work closely with Compliance Monitoring Officers to ensure timely execution of monitoring, surveillance and desk reviews. Additionally, the Compliance Monitoring Associate will undertake daily and other periodic monitoring work, proactively investigating as necessary, and escalating any matters as required.
Role Responsibilities
* Conducting ‘level one’ assessment of alerts triggered from TP ICAP’s Trade/Order and Surveillance systems.
* Conducting ‘level one’ assessment of alerts triggered from TP ICAP’s Communications Surveillance systems.
* Escalating alerts to the Level 2 Surveillance team 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.
* Assisting other Compliance Officers in post trade monitoring of compliance with relevant Exchange rules.
* Developing knowledge of the products, trading methods and regulations associated with a particular asset class as defined by the Compliance Manager.
* Assisting with ad hoc work, investigations and project issues as required.
* Remaining informed of changes to the regulatory environment.
* Developing skills around clear communications with stakeholders.
Experience / Competences
* 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 other team roles as the workload demands.
* Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards.
* Previous practical experience gained in a monitoring function within a financial services firm (desirable)
* 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.
Band & Level – Professional, 4
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