Compliance Associate(Trade Surveillance)

Location UK / Belfast

Job Type Permanent full-time, TemporaryContract

Salary Not disclosed

Updated 2 weeks ago

Reference 1363763

 Job Description

Compliance Monitoring Associate, Surveillance, Belfast (Market Leading Salary)

Compliance Monitoring Associate


VANRATH are currently recruiting on behalf of our client, a key player within the Professional Intermediaries sector. They play a pivotal role in the world’s financial, energy and commodities markets. Their knowledge, expertise, and insight of the intermediaries market is unrivalled & this is what sets our client apart from its competitors. They have built a reputation on honesty, integrity and excellence, making them a Market Leader in their field.

The role sits within the Bank’s Belfast office & is primarily responsible for ‘level one’ review of alerts triggered from the Bank’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.

Job duties:

  • Conducting ‘level one’ assessment of alerts triggered from TP ICAP’s 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 in ServiceNow
  • 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.

Essential Criteria:

  • Previous practical experience gained in monitoring/surveillance function within a financial services firm.
  • 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 other team roles as the workload demands
  • Delivering Business Success – Desiring Quality: pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards.


You will be joining a successful business offering a long-term stable role with a competitive salary package and excellent benefits to avail of.

For further information on this Compliance Monitoring Associate vacancy, or any other Accountancy job in Belfast or wider Northern Ireland, please apply via the link below or contact Jessica Grieve in the strictest confidence on 02890 330 250.