At a Glance
- Tasks: Review alerts from surveillance systems and support compliance monitoring activities.
- Company: Join TP ICAP, a global leader in market infrastructure and financial services.
- Benefits: Gain valuable experience in compliance with opportunities for career growth.
- Other info: Be part of a diverse team in a fast-paced, innovative workplace.
- Why this job: Make a real impact in ensuring regulatory compliance in a dynamic environment.
- Qualifications: Strong communication skills and proficiency in Microsoft applications required.
The predicted salary is between 25000 - 32000 £ per year.
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. The Group operates from more than 60 offices in 27 countries and is home to a stable of premium brands.
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, and 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 escalating any matters as required.
Role Responsibilities:
- 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.
- Pro-actively make recommendations on the 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 communications with stakeholders.
Experience / Competences:
Essential:
- 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.
Desired:
- 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.
Location: UK - City Quays - Belfast
Compliance Monitoring Associate (Entry Level Role) in Belfast employer: TP ICAP
TP ICAP is an exceptional employer, offering a dynamic work environment in the heart of Belfast, where employees are empowered to grow and develop their skills in compliance monitoring. With a strong commitment to innovation and integrity, the company fosters a collaborative culture that values clear communication and teamwork, while providing ample opportunities for professional advancement within the global financial markets. Employees benefit from a supportive atmosphere that encourages proactive engagement and continuous learning, making TP ICAP a rewarding place to build a meaningful career.
StudySmarter Expert Advice🤫
We think this is how you could land Compliance Monitoring Associate (Entry Level Role) in Belfast
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those working at TP ICAP or similar firms. A friendly chat can open doors and give you insights that might just land you an interview.
✨Tip Number 2
Prepare for the interview by brushing up on your knowledge of compliance and regulatory requirements. Show us you’re not just a candidate, but someone who’s genuinely interested in the role and the company’s mission.
✨Tip Number 3
Practice your communication skills! As a Compliance Monitoring Associate, you’ll need to convey complex information clearly. Try mock interviews with friends or use online resources to refine your pitch.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, it shows you’re serious about joining our team at TP ICAP.
We think you need these skills to ace Compliance Monitoring Associate (Entry Level Role) in Belfast
Some tips for your application 🫡
Tailor Your CV:Make sure your CV is tailored to the Compliance Monitoring Associate role. Highlight any relevant skills or experiences that match the job description, especially your communication and analytical skills. We want to see how you can contribute to our team!
Craft a Compelling Cover Letter:Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for TP ICAP. Don’t forget to mention your understanding of regulatory requirements and market dynamics.
Showcase Your Skills:In your application, be sure to showcase your proficiency in Microsoft applications and any experience you have in monitoring functions. We love candidates who can demonstrate their ability to work under pressure and respond to urgent queries effectively.
Apply Through Our Website:We encourage you to apply through our website for the best chance of getting noticed. It’s the easiest way for us to track your application and ensure it reaches the right people. Plus, it shows you’re serious about joining our team!
How to prepare for a job interview at TP ICAP
✨Know Your Compliance Basics
Before the interview, brush up on your understanding of compliance regulations and market abuse. Familiarise yourself with the key concepts related to financial products, especially in commodities and equities. This will show that you’re proactive and genuinely interested in the role.
✨Showcase Your Tech Skills
Since the role requires proficiency in Microsoft applications, be ready to discuss your experience with these tools. Prepare examples of how you've used Excel for data analysis or PowerPoint for presentations. This will demonstrate your technical capabilities and readiness for the job.
✨Communicate Clearly
Effective communication is crucial in compliance roles. Practice articulating your thoughts clearly and concisely. You might even want to prepare a few scenarios where you had to communicate complex information to stakeholders, as this will highlight your interpersonal skills.
✨Be Ready for Pressure
The job involves working under pressure, so think of examples from your past experiences where you successfully managed urgent queries or tight deadlines. Sharing these stories will illustrate your ability to thrive in a fast-paced environment, which is essential for this role.
