Compliance Surveillance Senior Manager

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 OverviewThe 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.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.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 an applicant to merge these fields with a future in Market Surveillance.Role ResponsibilitiesBAUDirecting 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 on-going 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.Ensure the completion of Surveillance controls as per Compliance Controls FrameworkDevelop, coach and mentor the Belfast Surveillance team. Ensure effective succession planning and talent management and development. Ensure continued employee engagement.Represent the Belfast Compliance Dept. in the Belfast Leadership forum.Supervisory ResponsibilitiesOverall responsibility for the effective supervision of Belfast’s Compliance Surveillance team with a goal of executing elements of the Global Compliance Surveillance program.Provide feedback and assessment to line manager regarding the activities and performance within the teams.Fulfil the responsibilities around objectives, mid-year reviews and end of year reviews for the team.Ensure that policy and procedure documents are maintained, and updated as and when appropriate, to reflect the way in which the teams operate.Take ownership, where necessary, of any issues that may arise, in the day-to-day operating model of the teams.KPI reporting as required.Experience / CompetencesEssentialProven experience in a leadership role within a Surveillance or Market Abuse functionDemonstrated and robust understanding of market abuse risks and regulatory expectationsKnowledge 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 skillsSolid stakeholder management and communication skillsHigh attention to detail and commitment to quality and control standardsAbility to operate under pressure and manage competing priorities effectivelyProficiency in Microsoft Office applicationsDesirableExperience with surveillance systems and alert tuning methodologiesExposure to data analytics or AI-driven surveillance toolsFamiliarity with global regulatory frameworks impacting market conductBand / LevelManager / 7#LI-MID #LI-Hybrid #NIJobsNot 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 StatementWe 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.LocationUK - City Quays - Belfast #J-18808-Ljbffr TP ICAP