Compliance Surveillance Analyst

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, covering global trading and communications activity across the TP ICAP Group. The Surveillance Analyst will work closely with the wider Surveillance team and management to ensure timely execution of surveillance tasks. This includes undertaking daily and other periodic surveillance tasks, proactively investigating as necessary, and escalating matters in line with established procedures.

TP ICAP is committed to keeping up with technological progress, providing opportunities for those skilled in Artificial Intelligence and data science. While proficiency in AI and data science is not a prerequisite, there exists a chance for an applicant to merge these fields with a future in Market Surveillance.

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 within the surveillance team that require further investigation.

• Pro-actively making recommendations on the tuning of alerts within the surveillance systems.

• Assisting in post trade monitoring of compliance with relevant Exchange rules.

• Compiling documentation as required in response to exchange/regulator enquiries.

• Developing knowledge of the products, trading methods and regulations associated with a particular asset class as defined by the Surveillance Senior Manager.

• Assisting with ad hoc work, investigations and project issues as required.

• Performing Surveillance controls as per Compliance controls framework.

• Remaining informed of changes to the regulatory environment.

• Developing report writing and soft skills, including clear communication 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/surveillance function within a financial services firm.

• Experience of working in a broking / trading capacity.

• Knowledge of financial products within Commodities, Interest Rates, Fixed Income and Equities asset classes.

• Understanding of market abuse and the risks associated with it.

• Exposure to Artificial Intelligence, data analytics or data science-related skills.

Band / Level

• Professional / 4

#LI-ENT #LI-Hybrid #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. 

Location

UK - City Quays 3 - Belfast