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. 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 sits within the TP ICAP Belfast office, primarily responsible for the level one review of alerts triggered from the firm’s surveillance systems. The Compliance Monitoring Associate will work closely with Compliance Monitoring Officers to ensure timely execution of monitoring, surveillance and desk reviews. Additionally, the Compliance Monitoring Associate will undertake daily and other periodic monitoring work, proactively investigating as necessary, and escalating any matters as required.
Role Responsibilities
* Conduct level one assessment of alerts triggered from TP ICAP’s Trade/Order and Surveillance systems.
* Conduct level one assessment of alerts triggered from TP ICAP’s Communications Surveillance systems.
* Escalate alerts to the Level 2 Surveillance team that require further investigation.
* Pro-actively make recommendations on the tuning of alerts within the Compliance Surveillance systems.
* Perform monitoring controls as per Compliance Controls Framework.
* Assist other Compliance Officers in post trade monitoring of compliance with relevant Exchange rules.
* Develop knowledge of the products, trading methods and regulations associated with a particular asset class as defined by the Compliance Manager.
* Assist with ad‑hoc work, investigations and project issues as required.
* Remain informed of changes to the regulatory environment.
* Develop skills around clear communications 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 function within a financial services firm (desirable).
* Experience of working in a broking/trading capacity (desirable).
* Knowledge of financial products within Commodities, Interest Rates, Fixed Income and Equities asset classes.
* Understanding of market abuse and the risks associated with it.
Band & Level
Professional, 4
Location
UK - City Quays - Belfast
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