Morgan McKinley
Compliance Analyst
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Compliance Surveillance Analyst
Contract: 1-Year Fixed Term Contract
Location: Belfast, Northern Ireland (Hybrid)
Salary: Approx. £28,000
You will be joining the Independent Compliance Risk Management Surveillance team. This team designs, implements, and oversees surveillances to detect behaviors that may violate regulatory rules or internal policies. Our global platform covers trade, e-communications, voice, employee trading, and information barrier surveillance.
What You Will Do
As a Compliance Surveillance Analyst, you will play a critical role in safeguarding the firm's reputation by assessing risk and ensuring compliance with applicable laws and regulations. Your key responsibilities will include:
- Alert Analysis: Assisting team members with reviewing and analyzing surveillance alerts and reports related to firm, employee, and client trading activity.
- Documentation & Escalation: Properly documenting the review and disposition of exceptions and escalating matters to partners across the lines of defense when potentially anomalous behavior is detected.
- Regulatory Inquiries: Gathering and analyzing trade data to assist in the firm's response to inquiries from governmental and exchange regulatory bodies.
- Communication: Evaluating surveillance results and clearly communicating findings to management, Legal, and other compliance personnel.
- Internal Support: Responding to inquiries from internal partners, including ICRM Assurance, Internal Audit, and Legal.
- Operational Duties: Handling telephone hotlines, performing data entry, and other duties as assigned.
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What We Are Looking For
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Experience: Previous relevant experience in a financial services firm, regulatory organization, or legal/consulting firm is preferred.
Education: Bachelor's degree (or equivalent proven experience). Advanced degree preferred.
Knowledge: An understanding of Compliance laws, rules, regulations, risks, and typologies within your focus area.
Technical Skills: Proficient in MS Office applications (Excel, Word, PowerPoint).
Soft Skills: Excellent written and verbal communication skills. Self-starter who is flexible, innovative, and adaptive. Strong interpersonal skills with the ability to work collaboratively across all levels of the organization. Excellent project management and organizational skills to handle multiple projects simultaneously.
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