Compliance Specialist
1 month ago
This Compliance Specialist role is based in Belfast, UK and forms part of the EMEA Core Compliance Team.
Company OverviewThe TP ICAP Group is a world-leading provider of market infrastructure, with a presence in over 60 offices across 27 countries. Our mission 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.
Key Responsibilities- Developing knowledge of the Senior Managers & Certification regime;
- Assessment of responses on broker attestations to determine follow-up actions;
- New joiner processing, including training setup, policy document sending, and 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 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.
- 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 experience gained working in a Financial Services institution within a Compliance Administration role (desired);
- Knowledge of the FCA Senior Managers & Certification Regime (SMCR) (desired);
- Previous experience in processing NFA/Exchange registrations (desired).
£35,000 - £45,000 per annum, depending on experience.
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