Compliance Surveillance Senior Manager in Belfast

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 operates from more than 60 offices in 27 countries. We are 5,300 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

The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to ensure the group continues to meet all applicable regulatory requirements, protect the group and its staff from regulatory sanction, and maintain its reputation as an IDB which acts with honesty, integrity, respect, and excellence. The role is primarily responsible for the review of alerts triggered from the firm’s surveillance systems, covering global trading and communications activity across the TP ICAP Group. The Surveillance Senior Manager will work closely with the wider Surveillance team and management to ensure timely execution of surveillance tasks. This includes overseeing and contributing to daily and other periodic surveillance tasks, proactively investigating as necessary, and escalating matters in line with established procedures.

Role Responsibilities

• Directing the Surveillance team’s review and assessment of alerts triggered from TP ICAP’s Trade/Order and Communications Surveillance systems.
• Dealing with escalations that arise during the course of Surveillance BAU tasks.
• Alert governance responsibilities including project work around parameter reviews and refinement of alerts.
• Ensuring the Surveillance team pro-actively make recommendations on the tuning of alerts within the Compliance Surveillance systems.
• Compiling responses to Requests for Information from exchanges and regulators.
• Performing ad hoc work/investigations and producing reports as required, ensuring adequate documentation of this work in internal logs.
• Liaising with front-office staff and wider Compliance colleagues/stakeholders in relation to ongoing investigations, RFI’s etc.
• Excellent report writing and soft skills, including clear communication with stakeholders.
• Performing the QA of Surveillance tasks handled by Associates/Analysts in the team.
• Collating routine and ad-hoc Management Information as required.
• Ensuring the completion of Surveillance controls as per Compliance Controls Framework.
• Developing, coaching, and mentoring the Belfast Surveillance team, ensuring effective succession planning and talent management and development.
• Representing the Belfast Compliance Dept. in the Belfast Leadership forum.

Supervisory Responsibilities

• Overall responsibility for the effective supervision of Belfast’s Compliance Surveillance team with a goal of executing elements of the Global Compliance Surveillance program.
• Providing feedback and assessment to line manager regarding the activities and performance within the teams.
• Fulfilling the responsibilities around objectives, mid-year reviews and end of year reviews for the team.
• Ensuring that policy and procedure documents are maintained and updated as and when appropriate, to reflect the way in which the teams operate.
• Taking ownership, where necessary, of any issues that may arise, in the day-to-day operating model of the teams.
• KPI reporting as required.

Experience / Competences

• Proven experience in a leadership role within a Surveillance or Market Abuse function.
• Demonstrated and robust understanding of market abuse risks and regulatory expectations.
• Knowledge of financial products across one or more asset classes (e.g., Commodities, Rates, Fixed Income, Equities).
• Experience working in or alongside trading/broking environments (preferred).
• Excellent analytical, investigative, and report writing skills.
• Solid stakeholder management and communication skills.
• High attention to detail and commitment to quality and control standards.
• Ability to operate under pressure and manage competing priorities effectively.
• Proficiency in Microsoft Office applications.

• Experience with surveillance systems and alert tuning methodologies.
• Exposure to data analytics or AI-driven surveillance tools.
• Familiarity with global regulatory frameworks impacting market conduct.

Location: UK - City Quays - Belfast