Compliance Officer

Abacus Professional Recruitment
Belfast, UK
30 May 2019
10 Nov 2019
Contract Type
Full Time
Compliance Officer

  • Abacus Group are pleased to be recruiting for a Compliance Officer on behalf of an expanding global firm who specialise within the financial, energy and commodities markets.

  • Assisting with the processes undertaken by the Employee Compliance function including, but not limited to:
  • Processing of FCA Approved Persons documentation, including Significant Influence Functions and Withdrawals (Standard and Qualified).
  • Providing access to professional qualifications and training through learning providers.
  • Assigning and chasing of Compliance training across EMEA and maintenance of those records
  • New Joiner processing; training set up, sending of policy documents, competency assessments
  • Reconciliation of PA Dealing requests and associated contract notes
  • Reconciliation and processing of regulatory/training invoices
  • Collate and produce monthly EMEA Compliance Management Information
  • Administration of Exchange Registrations (e.g. Eurex, ICE, CME)
  • Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework.
  • Assisting with ad hoc work, investigations and project issues as required.
  • Ensuring that compliance documentation and procedures in respect of individual responsibilities are regularly reviewed and updated.
  • Remaining informed of changes to the regulatory environment.

  • Experience of working in a KYC/AML/Compliance team.
  • Minimum 2 years experience dealing with trade surveillance.
  • A broad base of financial services knowledge and experience

  • Generous basic depending on experience.

Primary Contact:
  • Nicky Strutt -

Next Steps:

Please submit your application or speak to a specialist consultant in Abacus on 02890313157 for a confidential career discussion. Did you know? Abacus is NI's only Highly Rated Recruiter with 4.5 Stars for customer satisfaction (Independent review site Feefo).

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