Job Description

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

The Compliance team plays a vital role in supporting TP ICAP's commitment to integrity, transparency, and regulatory excellence. Our purpose is to:Ensure the group continues to meet all applicable regulatory requirements. Protect the group and its colleagues from regulatory sanctions. Maintain our reputation as an interdealer broker that acts with honesty, integrity, respect, and excellence.


This role is based in our Belfast office and focuses on conducting the 'level one' review of alerts generated by the firm's surveillance systems. The Compliance Monitoring Associate will work closely with Compliance Monitoring Officers to ensure timely completion of monitoring, surveillance, and desk reviews. You will also perform daily and periodic monitoring tasks, proactively investigate issues, and escalate matters where appropriate.

At TP ICAP, we're embracing innovation and the opportunities presented by new technologies. While expertise in Artificial Intelligence or data science is not required, individuals with an interest in these areas may find opportunities to combine these skills with a future in market surveillance.

Key ResponsibilitiesConduct 'level one' assessments of alerts triggered from TP ICAP's trade, order, and communication surveillance systems. Escalate alerts to the Level 2 Surveillance team for further investigation when necessary. Proactively make recommendations to improve alert tuning and system efficiency. Perform monitoring controls as outlined in the Compliance Controls Framework. Support Compliance Officers with post-trade monitoring of adherence to relevant Exchange rules. Develop an understanding of products, trading methods, and regulations associated with assigned asset classes. Assist with ad hoc investigations, projects, and initiatives as required. Stay informed on regulatory developments and emerging compliance risks. Communicate clearly and collaboratively with stakeholders across the business.


Experience / Competencies
EssentialProficiency in Microsoft Office applications (Word, Excel, PowerPoint, Outlook). Demonstrated and proven communication and interpersonal skills, with the ability to build constructive relationships. Ability to work effectively under pressure and respond accurately to time-sensitive queries. Adaptability and willingness to support colleagues in a dynamic team environment. Proactive approach to self-development, setting goals and striving for continuous improvement.


DesiredPrevious experience in a monitoring or surveillance function within financial services. Exposure to broking, trading, or similar environments. Understanding of financial products within Commodities, Interest Rates, Fixed Income, and Equities. Awareness of market abuse risks and related regulatory expectations. Familiarity or interest in Artificial Intelligence or data science applications.


Band & LevelProfessional / 4

#LI-ASO #LI-Hybrid #NIJobs
Not The Perfect Fit?
Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.
Location
UK - City Quays - Belfast