Market Surveillance Analyst

Tp Icap; Northern, New York (KY, NY); On-site; USD 125,000 - 150,000; Full time

Job summary

TP ICAP in New York is seeking a Market Surveillance Analyst to support SEF compliance through real-time trading monitoring, review of electronic communications, and oversight of regulatory reporting.

The role requires collaboration with internal stakeholders and external regulators (CFTC, SEC, NFA), investigating market irregularities and contributing to governance, reporting, and process improvements. Strong analytical, communication, and organizational skills are essential.

Qualifications

• Bachelor's Degree or equivalent.
• Prior compliance experience in financial services.
• Excel with Pivot Tables is required.

Responsibilities

• Respond to regulatory inquiries from CFTC/SEC.
• Conduct real-time market monitoring of SEF platforms.
• Review electronic communications flagged by lexicon.
• Ensure regulatory trade reporting is accurate.
• Collaborate with teams to align SEF processes with regulations.
• Compile weekly industry comparison reports across assets.
• Coordinate with NFA on trade surveillance inquiries/ investigations.
• Other duties as assigned.

Skills

Teamwork

Regulatory compliance

Communication

Analytical

Education

Bachelor's degree

Tools

Excel

Pivot Tables

Job description

## Market Surveillance AnalystApply: New York: Full time: Posted Yesterday: R5837**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; and* Other duties as may be assigned.**Experience / Competences:**Essential* 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 tablesLevel 6$125,000-$150,000