Compliance Monitoring Associate

TP ICAP; Belfast; On-site; GBP 60,000 - 80,000; Full time

Job summary

A financial services firm in Belfast seeks a Compliance Monitoring Associate to ensure regulatory compliance and conduct assessments of alerts from surveillance systems. The ideal candidate will possess excellent communication skills and experience in financial services monitoring. This role demands a proactive approach and the ability to respond to urgent queries effectively.

Qualifications

• Skilled in Microsoft applications software.
• Excellent communication and interpersonal skills.
• Previous experience in monitoring within financial services is desirable.

Responsibilities

• Conduct 'level one' assessment of alerts triggered from surveillance systems.
• Escalate alerts to the Level 2 Surveillance team for further investigation.
• Develop knowledge of the products and trading methods.

Skills

Microsoft applications (Word, Excel, PowerPoint, Outlook)

Excellent communication

Interpersonal skills

Ability to work under pressure

Flexibility

Job description

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Compliance Monitoring Associate, Belfast

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Client:

TP ICAP

Location:

Belfast, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Reference:

cf8566d26053

Job Views:

5

Posted:

01.08.2025

Expiry Date:

15.09.2025

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Job Description:

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

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.