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- Tasks: Join our Compliance team to review alerts and ensure regulatory standards are met.
- Company: TP ICAP is a leading global market infrastructure provider with over 5,300 employees worldwide.
- Benefits: Enjoy a hybrid work model, inclusive culture, and opportunities for personal growth.
- Why this job: Be part of a trusted team that values integrity and innovation in financial markets.
- Qualifications: Strong communication skills and proficiency in Microsoft applications; finance experience is a plus.
- Other info: We encourage diverse applicants and value unique skills—your potential matters!
The predicted salary is between 36000 - 60000 £ per year.
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Compliance Monitoring Associate, Belfast
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Client:
Location:
Belfast, United Kingdom
Job Category:
Other
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EU work permit required:
Yes
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Job Reference:
fcc044d1899b
Job Views:
5
Posted:
01.08.2025
Expiry Date:
15.09.2025
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Job Description:
Group Overview
The TP ICAP Group is a world leading provider of market infrastructure.
Our purpose 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.
Through our people and technology, we connect clients to superior liquidity and data solutions.
The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world’s leading provider of OTC data, and an award winning all-to-all trading platform.
The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
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.
#LI-Hybrid #LI-ENT #NIJobs
Not The Perfect Fit?
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn\’t align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don\’t hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That\’s why we\’re building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord – our Employee Network – is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
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Compliance Monitoring Associate employer: Liquidnet
Contact Detail:
Liquidnet Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Monitoring Associate
✨Tip Number 1
Familiarise yourself with the regulatory environment and compliance frameworks relevant to financial services. Understanding the latest regulations will not only help you in interviews but also demonstrate your commitment to the role.
✨Tip Number 2
Network with professionals in the compliance field, especially those who work in financial services or broking. Engaging with industry experts can provide insights into the role and may even lead to referrals.
✨Tip Number 3
Brush up on your skills in Microsoft applications, particularly Excel, as these are essential for data analysis in compliance monitoring. Consider taking online courses to enhance your proficiency.
✨Tip Number 4
Stay updated on market trends and developments in commodities, interest rates, and equities. This knowledge will be invaluable during discussions with interviewers and will show your genuine interest in the sector.
We think you need these skills to ace Compliance Monitoring Associate
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities of a Compliance Monitoring Associate. Familiarise yourself with the key tasks such as conducting level one assessments and monitoring compliance controls.
Tailor Your CV: Highlight relevant experience in compliance or monitoring functions within financial services. Emphasise your skills in Microsoft applications and any previous roles that required strong communication and interpersonal skills.
Craft a Compelling Cover Letter: In your cover letter, express your enthusiasm for the role and the company. Mention how your background aligns with TP ICAP's values and the specific requirements of the position, such as your understanding of market abuse risks.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors. A polished application reflects your attention to detail, which is crucial for a role in compliance.
How to prepare for a job interview at Liquidnet
✨Understand the Compliance Landscape
Familiarise yourself with the regulatory environment and compliance frameworks relevant to financial services. Being able to discuss recent changes in regulations or market abuse cases will show your proactive engagement with the industry.
✨Demonstrate Technical Proficiency
Since the role requires skills in Microsoft applications, be prepared to discuss your experience with these tools. You might even want to mention specific projects where you used Excel for data analysis or PowerPoint for presentations.
✨Showcase Your Communication Skills
Effective communication is key in compliance roles. Prepare examples of how you've successfully communicated complex information to stakeholders or resolved conflicts, as this will highlight your interpersonal skills.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world scenarios. Think about how you would handle specific compliance alerts or regulatory challenges, and be ready to articulate your thought process clearly.
