Compliance Monitoring Associate; Entry Level

Role Overview

The Compliance Monitoring Associate sits within the TP ICAP Belfast office and is primarily responsible for the ‘level one’ review of alerts triggered from the firm’s surveillance systems. The role works closely with Compliance Monitoring Officers to ensure timely execution of monitoring, surveillance and desk reviews, and conducts daily and periodic monitoring work, proactively investigating as necessary and escalating any matters as required.

• Conduct ‘level one’ assessment of alerts triggered from TP ICAP’s Trade/Order and Surveillance systems.
• Conduct ‘level one’ assessment of alerts triggered from TP ICAP’s Communications Surveillance systems.
• Escalate alerts to the Level 2 Surveillance team that require further investigation.
• Recommend tuning of alerts within the Compliance Surveillance systems.
• Perform monitoring controls as per Compliance Controls Framework.
• Assist other Compliance Officers in post‑trade monitoring of compliance with relevant Exchange rules.
• Develop knowledge of the products, trading methods and regulations associated with a particular asset class as defined by the Compliance Manager.
• Assist with ad‑hoc work, investigations and project issues as required.
• Remain informed of changes to the regulatory environment.
• Develop skills around clear communication with stakeholders.

• 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 workload demands.
• Sets own goals and targets and strives to exceed quality and service standards.

• Previous practical experience in a monitoring function within a financial services firm (desirable).
• Experience 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 associated risks.

Professional, 4