Real-Time 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

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.