Market Surveillance Analyst

670 TP ICAP Americas Holdings Inc.; New York (NY); On-site; USD 125,000 - 150,000; Full time

Job summary

TP ICAP Americas Holdings Inc. is seeking a SEF Compliance professional to support regulatory oversight, market surveillance, and compliance monitoring across SEF platforms. You will investigate possible market irregularities, coordinate with NFA, and ensure controls and reporting meet CFTC/SEC requirements.

The role requires strong analytical and communication skills, and collaboration across internal teams and external regulators in a fast-paced financial services environment.

Qualifications

• Prior compliance experience in the financial services industry, preferably with a broker-dealer or swap dealer.
• Excellent written and verbal communication skills.
• Advanced knowledge of Microsoft Excel including Pivot tables.

Responsibilities

• Respond to regulatory inquiries from CFTC and SEC
• Conduct real time market monitoring of trading activity on all SEF platforms
• Monitor electronic communications that are flagged as per a predefined lexicon and review/escalate any potential irregularities
• Ensure all regulatory trade reporting is accurate
• Work with relevant teams to ensure processes and procedures supporting SEF activity are conducted in accordance with relevant regulations
• Responsible for compiling weekly report of industry comparisons across all asset classes for SEF Management
• Coordinate with SEF’s regulatory service provider, NFA, regarding trade surveillance exceptions and resulting inquiries/investigations
• Other duties as may be assigned

Skills

Regulatory compliance

Communication skills

Excel Pivot Tables

Team player

NFA/FINRA experience

Education

Bachelor's degree

Equivalent experience

Job description

Group Overview

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. Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 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

This role is part of the SEF Compliance team and is responsible for supporting the firm's regulatory oversight, market surveillance, and compliance monitoring activities across Swap Execution Facility (SEF) platforms. The position plays a key role in ensuring compliance with CFTC and SEC regulatory requirements through real-time monitoring of trading activity, review of electronic communications, oversight of regulatory reporting obligations, and management of trade surveillance inquiries. The successful candidate will work closely with internal stakeholders and external regulatory bodies, including the National Futures Association (NFA), to investigate potential market irregularities, support regulatory examinations, and ensure the effectiveness of controls, processes, and procedures governing SEF operations. The role also contributes to management reporting, industry benchmarking, and ongoing regulatory compliance initiatives, requiring strong analytical, communication, and organizational skills within a collaborative, team-oriented environment.

Role Responsibilities

• Respond to regulatory inquiries from CFTC and SEC
• Conduct real time market monitoring of trading activity on all SEF platforms
• Monitor electronic communications that are flagged as per a predefined lexicon and review/escalate any potential irregularities
• Ensure all regulatory trade reporting is accurate
• Work with relevant teams to ensure processes and procedures supporting SEF activity is conducted in accordance with relevant regulations
• Responsible for compiling weekly report of industry comparisons across all asset classes for SEF Management
• Coordinate with SEF’s regulatory service provider, NFA, regarding trade surveillance exceptions and resulting inquiries/investigations
• Other duties as may be assigned

Experience / Competences

• Able to work in a dedicated, team-oriented setting
• Prior compliance experience in the financial services industry, preferably with a broker-dealer or swap dealer
• Possess excellent written and verbal communication skills
• Desired Bachelor's Degree or equivalent combination of education and/or experience
• Prior experience with a self-regulatory organization such as NFA/FINRA
• Advanced knowledge of Microsoft Excel including Pivot tables Level 6 $125,000-$150,000

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

USA - 200 Vesey Street - New York, NY

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.