Compliance Surveillance Analyst

TP ICAP Group Services Ltd; Belfast City District; On-site; GBP 35,000 - 55,000; Full time

Job summary

TP ICAP is seeking a Surveillance Analyst in Belfast to perform level one reviews of alerts from trade/order, surveillance and communications systems. You will escalate matters for deeper investigation and help tune alert configurations.

The role supports post-trade monitoring and responses to regulator enquiries, while building knowledge of products and regulatory changes. Ideal candidates have strong Microsoft Office skills, excellent communication, and experience in a financial services

Qualifications

• Proficient in Microsoft Word, Excel, PowerPoint, Outlook.

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.

Skills

Microsoft Office

Communication skills

Under pressure

Flexibility

Goal setting

Surveillance experience

Broking/trading experience

Financial products knowledge

Market abuse understanding

AI/data analytics exposure

Job description

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

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

Location UK - City Quays 3 - Belfast

Connecting clients, communities and colleagues for sustainable growth TP ICAP connects people, platforms, ideas, and insight across the world’s financial, energy and commodities markets. As a global leader in market infrastructure and data-led solutions, we enhance market access, increase efficiencies, and unlock possibilities.

Work with us Joining TP ICAP puts you at the heart of markets that matter. You’ll have the freedom to innovate and act on your initiative. We’ll train you and build your abilities in your specialist area, so that you can become an expert in your field. And all within a connected network that’s there to set you up for success.

More about us TP ICAP Group is a collection of premium brands each with a distinct, client-focused offering. Underpinning and connecting these client-facing brands is the financial security, operational strength and know-how we have as a Group. Connections are at the heart of what we do. We combine our people’s know-how with the latest technology to improve price discovery, trade execution and liquidity flow. Connections create strength. Through them, we help our clients to manage risk, realise investment strategies and expand the scope for growth. And connections act as a catalyst. Sparking richer solutions for our clients to break new ground, modernising markets for future performance, and creating dynamic careers for our people. Our capacity to connect builds trust, supports communities and gives us the power to anticipate and respond to change, whatever direction the world takes. It’s what makes TP ICAP a mainstay in the global markets, now and in the future. TP ICAP. We connect.