Analyst, Compliance (Surveillance)

icg; Poland; Hybrid; PLN 120,000 - 180,000; Full time

Job summary

ICG in Warsaw, Poland is seeking an Analyst to join the Compliance Surveillance team. The role is hybrid, with four days in the office and one remote day, supporting alerts, investigations and reporting across e-communications and trade surveillance.

You will gain exposure to MiFID II requirements, market abuse controls and stakeholder engagement across Compliance and other functions within the group.

Qualifications

• Experience in an Investment/Wholesale Bank or Asset Manager is preferred.
• 2+ years in Surveillance or Compliance.
• Strong knowledge of European and UK regulation, especially Market Abuse.
• Familiarity with bond/credit markets.
• Experience with Bloomberg surveillance tools is beneficial.

Responsibilities

• Assist design and enhancement of the e-Communications Surveillance programme.
• Monitor electronic communications for conduct risks and policy breaches.
• Generate audit-ready surveillance reports for stakeholders.
• Support Trade Surveillance model and MiFID II Best Execution requirements.

Skills

Surveillance experience

Regulatory knowledge

Stakeholder management

Analytical skills

Education

Finance/Law degree

Tools

Bloomberg

Job description

Job Title: Analyst, Compliance (Surveillance)

Contract Type: Permanent, full-time

Location: Warsaw, Poland

Work Pattern: Hybrid ( 4 days per week in the office, 1 day remote)

Department: Compliance

What the Hiring Manager says....

' This is an excellent opportunity to join a small team that is in its growth phase and to be a part of the growth and development of the Surveillance team at ICG . '

S ummary of our opportunity

T he Compliance team consists of 2 8 employees, situated across London, Luxembourg , Madrid , Warsaw, Singapore and the US . As a small team supporting a unique group, roles are varied, often challenging and cover a broad range of regulations and all jurisdictions in which the Group operates . Collectively, the team supports 10+ regulated entities offering investment management and advisory services from five core jurisdictions . Our private funds include Mezzanine and Equity, Credit, Senior Debt, Real Estate and Secondaries and are marketed into 30+ jurisdictions .

Within that team, the Surveillance function is responsible for helping to maintain effective arrangements for the detection and investigation of potential market abuse, policy breaches and conduct issues across trading activity, electronic communications and voice records.

As part of this team, you will support the execution and development of ICG's Surveillance Programme across trade surveillance, e-communications surveillance and voice surveillance. You will review alerts, investigate context, document outcomes, escalate issues where appropriate and help improve the quality, efficiency and risk-based design of the control framework over time .

Extensive training will be provided to the successful candidate.

Primary Responsibilities for this role include (but are not limited to):

E-Communications Surveillance:

• Assist the Surveillance Manager with the design, management and enhancement of the e-Communications Surveillance Programme, including lexicons, rules and monitoring frameworks.
• Conduct monitoring and analysis of electronic communications across relevant platforms, identifying conduct risks, information leakage and policy breaches for escalation.
• Generate clear, audit-ready reports on surveillance findings and communicate outcomes to the Surveillance Manager and relevant stakeholders.
• Develop an understanding of personal Conflicts of Interest (e.g. Personal Account Dealing, Outside Business Interests, Gifts & Entertainment, Directorships) and incorporate these into surveillance activities.

Trade Surveillance:

• Assist the Surveillance Manager with the oversight and enhancement of the Trade Surveillance model across ICG.
• Perform monitoring and analysis of trading activity across asset classes to identify potential market abuse (e.g. market manipulation, insider dealing) and best execution concerns.
• Support both automated surveillance tools (e.g. Bloomberg BTCA) and manual reviews using OMS data, ensuring robust investigation and clear close-out rationale.
• Develop in-depth knowledge of the Trade Surveillance framework and Best Execution requirements under MiFID II.

Stakeholder Management:

• Develop strong knowledge of ICG's business model, strategies and products to assess alerts in the appropriate commercial and regulatory context.
• Build effective working relationships across Compliance, Credit , Treasury and other functions.
• Become a trusted advisor to stakeholders .

Key Requirements/ Qualifications

You will have demonstrable experience of:

• Experience working in an Investment / Wholesale Bank, PE or Asset Manager (€1bn+ AUM) or a Leveraged Finance environment.
• Experience in a Surveillance or Compliance role (2+ years).
• Good knowledge of European and UK (FCA) regulation, particularly Market Abuse.
• Knowledge and experience of bond / credit markets (FX exposure is advantageous ).
• Familiarity with surveillance tools (e.g. Bloomberg) is beneficial.
• Degree in Law, Finance, Accounting, Economics, Business Administration or simila r .

Personal Attributes

Personal attributes that will make you successful in this role include but are not limited to:

• Exceptional attention to detail and strong analytical capability.
• Strong written and verbal communication skills.
• Excellent relationship builder with strong stakeholder management skills.
• Well organised, with the ability to manage competing priorities in a fast-paced, evolving environment.
• Ability to distil regulatory or policy information into clear, practical guidance.
• Confident working independently with limited direction and sound judgement.
• Resilient, motivated and able to work across teams and cultures.
• Reliable, trustworthy and professional.

Our Global Benefits Framework is centered around these 3 key attributes:

• Wellbeing - Supporting your mental, physical and financial wellbeing as well as your lifestyle needs .
• Inclusivity - Fit for purpose and competitive, no matter who or where you are .
• Longevity - Long Term and sustainable in de