MCS Group are excited to be working with a key player within the Professional Intermediaries Sector, locate experienced Compliance professionals.
Our Client plays a pivotal role in the world's finance, energy and commodities markets and have recently opened brand new offices in BELFAST and are seeking individuals to join them on an exciting new venture.
You will join the EMEA Compliance, Belfast based, Team who primarily focuses on the 'level one' review of alerts triggered from the firm's surveillance systems.
As Compliance Associate, you shall:
- Conduct level one assessments of alerts triggers from the Trade / Order / Communication systems and escalating alerts, when required, to the London based team.
- Work alongside the Compliance Monitoring Officers in order to ensure the timely execution of monitoring, surveillance and desk reviews.
- Undertake daily and periodic monitoring work, conducting investigations and escalating matters as and when required.
- Assist Compliance Officers in real and post trade monitoring of compliance with relevant Exchange rules.
- Assist in investigations, project issues whilst also ensure that recommendations are made re the running of alerts within the Compliance Surveillance systems.
- Assist in compiling pre-visit information for Compliance Desk Reviews.
- You will, ideally, have experience within Trade Monitoring / Surveillance.
- You will have knowledge of financial products within Commodities, Fixed Income, Interest Rates or Equities.
- You will have an understanding of market abuse and the risks associated with it.
- You will, ideally, have experience of working in a broking or trading capacity.
Salary will be negotiable depending on experience. A lucrative package will also be on offer and, for the right person, there is the opportunity and potential to progress significantly within your field.
All CVs are to be submitted to the link provided.
Please contact Claire McCarragher, Banking & Finance Specialist Consultant at MCS Group. Should you have any queries.
All conversations will be treated in the strictest of confidence.
Experience: 0 yrs