Analyst, Compliance (Surveillance)

Intermediate Capital Group (ICG); Warszawa; Hybrid; PLN 70,000 - 110,000; Full time

Job summary

Intermediate Capital Group (ICG) in Warsaw seeks an Analyst, Compliance (Surveillance) for a hybrid role. You will support the Surveillance Programme across e-communications and trade surveillance, reviewing alerts and documenting outcomes.

You will develop knowledge of market abuse regulations and collaborate with Compliance, Credit and Treasury to strengthen the control framework. Training is provided.

Qualifications

• 2+ years in Surveillance or Compliance role.
• Good knowledge of European and UK regulation, Market Abuse.
• Knowledge of bond/credit markets; FX exposure is advantageous.
• Familiarity with surveillance tools (Bloomberg) is beneficial.

Responsibilities

• Assist design and management of the e-Communications Surveillance Programme.
• Monitor electronic communications for conduct risks and policy breaches.
• Generate audit-ready surveillance reports and communicate outcomes.
• Develop knowledge of Conflicts of Interest and incorporate into surveillance.
• Assist oversighting Trade Surveillance model and analyse trading activity across asset classes.
• Support automated surveillance tools (Bloomberg) and OMS data reviews.
• Build relationships across Compliance, Credit, Treasury and other functions.

Skills

Surveillance

Compliance

Market Abuse

Bloomberg

Education

Law/Finance degree

Tools

Bloomberg Terminal

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.’

Summary of our opportunity

The Compliance team consists of 28 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, escalatem 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 similar.

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 centred 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 design_._

_Inclusion is one of ICG’s key values and we are committed to creating an equitable and inclusive workplace for everyone. By welcoming different perspectives, we strengthen ICG’s performance, enrich decision-making and contribute to better outcomes for our clients, colleagues, and the markets we serve. Accordingly, our recruitment processes provide equal employment opportunities to all applicants and employees, regardless of age, ethnicity, disability, sex, gender, sexual orientation, religion, or any other characteristicprotected by local law._

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_We are equally committed to delivering an inclusive and accessible candidate experience. If you require information in an alternative format, additional time for assessments, an adjusted interview schedule, or any other support during the recruitment process, please let us know._