Compliance Surveillance Analyst in Belfast

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 sits within the TP ICAP Belfast office and is primarily responsible for the level one review of alerts triggered from the firm’s surveillance systems, covering global trading and communications activity across the TP ICAP Group. The Surveillance Analyst will work closely with the wider Surveillance team and management to ensure timely execution of surveillance tasks, undertake daily and periodic surveillance tasks, proactively investigate as necessary, and escalate matters in line with established procedures.

TP ICAP is committed to keeping up with technological progress, providing opportunities for those skilled in Artificial Intelligence and data science. While proficiency in AI and data science is not a prerequisite, there exists a chance for the applicant to merge these fields with a future in Market Surveillance.

Role Responsibilities

• Conducting ‘level one’ assessment of alerts triggered from TP ICAP’s trade/order and surveillance systems.
• Conducting ‘level one’ assessment of alerts triggered from TP ICAP’s communications surveillance systems.
• Escalating alerts within the surveillance team that require further investigation.
• Pro-actively making recommendations on the tuning of alerts within the surveillance systems.
• Assisting in post trade monitoring of compliance with relevant Exchange rules.
• Compiling documentation as required in response to exchange/regulator enquiries.
• Developing knowledge of the products, trading methods and regulations associated with a particular asset class as defined by the Surveillance Senior Manager.
• Assisting with ad hoc work, investigations and project issues as required.
• Performing Surveillance controls as per Compliance controls framework.
• Remaining informed of changes to the regulatory environment.
• Developing report writing and soft skills, including clear communication with stakeholders.

Experience / Competences

Essential

• Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.)
• Excellent communication and interpersonal skills.
• Ability to work under pressure, responding to urgent queries accurately and effectively.
• Flexibility to take on other team roles as the workload demands.
• Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards.

Desired

• Previous practical experience gained in a monitoring/surveillance function within a financial services firm.
• Experience of working in a broking/trading capacity.
• Knowledge of financial products within Commodities, Interest Rates, Fixed Income and Equities asset classes.
• Understanding of market abuse and the risks associated with it.
• Exposure to Artificial Intelligence, data analytics or data science-related skills.

Band / Level

Professional / 4

Location

UK - City Quays - Belfast