Compliance Monitoring Associate

6 months ago

Belfast, United Kingdom TP ICAP Full time

Job Description
- Group Overview

The TP ICAP Group is a world leading provider of market infrastructure.

Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.

Through our people and technology, we connect clients to superior liquidity and data solutions.

The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.

The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.

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 escalate 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

Essential-
- 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.

Desired- 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.

Not The Perfect Fit?

Company Statement

We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.

LI-Hybrid #LI-ENT

Location

UK - City Quays - Belfast

  • Compliance Monitoring Associate

    4 weeks ago

    Belfast, United Kingdom Tp Icap Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure.Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.Through our people and technology, we connect clients to superior...

  • Compliance Monitoring Associate

    4 weeks ago

    Belfast, United Kingdom TP ICAP Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

  • Compliance Monitoring Associate

    4 weeks ago

    Belfast, United Kingdom Tp Icap Group Services Ltd Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure.Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.Through our people and technology, we connect clients to superior...

  • Compliance Monitoring Associate

    4 weeks ago

    Belfast, Northern Ireland, United Kingdom TP ICAP Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

  • Compliance Associate

    6 months ago

    Belfast, United Kingdom fscom Full time

    **Role**: Compliance Associates (All levels) **Expertise**:FinCrime, Payments, Internal Audit, Conduct, IT Risk, Information Security, Operational Resilience **Location**: Belfast, on a hybrid basis, we are a collaborative team and enjoy working remotely and in person together. - __________________________________________ A leading Governance Risk and...

  • Compliance Associate

    3 weeks ago

    Belfast, United Kingdom Fscom Full time

    Role: Compliance Associate Practices: Payments, Asset Management and Europe Consulting Location: Belfast, on a hybrid basis, we are a collaborative team and enjoy working remotely and in person together.There will be some travel involved to clients located in Dublin.ABOUT FSCOM fscom is one of the leading specialist consulting firms providing governance,...

  • Banking Compliance Associate

    4 weeks ago

    Belfast, United Kingdom EQHazellCarr Full time

    Are you looking for an exciting new challenge? We have an opportunity for a Banking Compliance Associate to join our team in Bristol, working closely with a major bank in the motor finance division. In this role, you will assist with Data subject access requests (DSARs), ensuring accurate and timely processing of customer data.We offer a competitive daily...

  • Compliance Monitoring Expert

    7 days ago

    Belfast, United Kingdom Treliant Full time

    What We Offer:At Treliant, we pride ourselves on our collaborative team culture, where we embrace diversity of thought and innovation. As a Transaction Monitoring Specialist, you will have the opportunity to work with top-tier investment banks and other leading financial institutions, developing your skills and expertise in a dynamic and supportive...

  • Compliance Associate

    3 weeks ago

    Belfast, United Kingdom fscom Full time

    Role: Compliance AssociatePractices: Payments, Asset Management and Europe Consulting Location: Belfast, on a hybrid basis, we are a collaborative team and enjoy working remotely and in person together. There will be some travel involved to clients located in Dublin.ABOUT FSCOMfscom is one of the leading specialist consulting firms providing governance,...

  • Compliance Associate

    3 weeks ago

    Belfast, United Kingdom fscom Full time

    Role: Compliance AssociatePractices: Payments, Asset Management and Europe Consulting Location: Belfast, on a hybrid basis, we are a collaborative team and enjoy working remotely and in person together. There will be some travel involved to clients located in Dublin.ABOUT FSCOMfscom is one of the leading specialist consulting firms providing governance,...

  • Compliance and Governance Associate

    6 days ago

    Belfast, United Kingdom McGregor Boyall Full time

    About the RoleWe are seeking a Compliance and Governance Associate to support our clients in the financial services sector. This role involves preparing and circulating meeting materials, developing and maintaining accurate records of committee proceedings and decisions, and supporting the Risk Committee and Main Board in key governance matters.The ideal...

  • Investment Compliance Specialist

    1 week ago

    Belfast, United Kingdom Signatus Recruitment Full time

    Established in Belfast with offices across GB & Ireland, a leading specialist consultancy in financial services seeks multiple Investment Compliance Associates. With 2+ years of experience, you will assist and sometimes lead client engagements, managing a portfolio of clients. Sectoral analysis research feeds into high-quality client insights and informs...

  • Compliance & Risk Associate

    6 months ago

    Belfast, United Kingdom Davy Full time

    Davy UK is one of Northern Ireland’s leading financial advice, wealth management and capital markets firms. Based in Belfast with an office in London, our purpose is to deliver world-class outcomes for our private and professional clients. **Why work with us** There are lots of benefits to working at Davy. Our city centre location, free access to our...

  • Compliance Associate

    1 week ago

    Belfast, United Kingdom TP ICAP Group Services Ltd Full time

    Job Title: Compliance Associate - Global Market GovernanceThe TP ICAP Group Services Ltd is a leading provider of market infrastructure, offering clients access to global financial and commodities markets. Our purpose is to provide clients with superior liquidity and data solutions, improving price discovery and distribution of data through responsible and...

  • AML Compliance Specialist

    4 weeks ago

    Belfast, United Kingdom Baker & McKenzie Rechtsanwaltsgesellschaft mbH Full time

    Job DescriptionBecome a key player in our Anti-Money Laundering (AML) team as an AML Analyst. In this 12-month contract role, you will be responsible for undertaking AML processes such as Client Due Diligence (CDD), Risk Assessments, Monitoring, and Reporting.We are looking for an individual with a strong understanding of AML/CTF requirements and financial...

  • Compliance and Safety Engineer

    1 week ago

    Belfast, United Kingdom ABM Full time

    About the JobThe successful candidate will play a crucial role in ensuring compliance with British and European Standards, regulations, legislation, and client standards and specifications surrounding mechanical safety.This includes co-ordinating and controlling activities associated with mechanical systems, developing and implementing adequate maintenance...

  • Core Compliance Associate

    4 weeks ago

    Belfast, United Kingdom Tp Icap Group Services Ltd Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure.Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.Through our people and technology, we connect clients to superior...

  • Core Compliance Associate

    1 month ago

    Belfast, United Kingdom TP ICAP Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

  • Core Compliance Associate

    4 weeks ago

    Belfast, Northern Ireland, United Kingdom TP ICAP Full time

    Group Overview The TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions. Through our people and technology, we connect clients to superior...

  • Compliance Associate

    3 weeks ago

    Belfast, Northern Ireland, Northern Ireland, United Kingdom fscom Full time

    Role: Compliance AssociatePractices: Payments, Asset Management and Europe Consulting Location: Belfast, on a hybrid basis, we are a collaborative team and enjoy working remotely and in person together. There will be some travel involved to clients located in Dublin.ABOUT FSCOMfscom is one of the leading specialist consulting firms providing governance,...