Surveillance Analyst Fixed Income
7 days ago
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.
Global Broking Overview
TP ICAP's Global Broking division is the largest inter-dealer broker in the world.
We service clients in Rates, FX & Money Markets, Equities and Credit products.
As trusted partners with deep customer relationships, our brokers support trading strategies, identify potential trading interest, foster liquidity and facilitate price discovery. Market-leading technology platforms enable our brokers to incorporate large amounts of data and research into decisions.
Using their market knowledge and experience to observe and interpret events, precedents and probabilities, our brokers act decisively on real-time information to deliver the desired outcomes for our clients.
Our two core global broking brands, Tullett Prebon and ICAP, operate independently and compete with one another for the benefit of our clients. Both are recognised as world leaders in the broking sector.
Role Overview
The Surveillance Analyst is responsible for developing and executing surveillance across Rates Products of trades, orders, and communications in line with local regulatory requirements and internal policies.
This position is based in TP ICAP's NYC office reports to the SMD Rates/Fixed Income.
Key Stakeholders
Global Broking, Compliance, Risk and FORM AMER teams.
Role Responsibilities
- Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies.
- Create and develop exception reporting process including trend framework analysis.
- Assessment of Alerts generated by trade/order/communication surveillance systems, escalating where appropriate to management
- Operate surveillance control framework and assist in testing and validating those controls.
- Log identified breaches in the internal risk management system.
- Perform oversight and monitoring of policies and procedures, documenting results and identifying and escalating potential issues.
- Assist with internal investigations, including drafting reports.
- Respond to and address inquiries from the business to ensure compliance with applicable laws, regulations, and firm policies.
- Assist with the implementation and enhancement of surveillance reports and processes / procedures.
- Assist with preparation of surveillance MI.
- Assist in performing reviews of targeted populations utilizing trade, order, and communications data to detect potential misconduct in the firm.
- Assist in the design and development of the Americas Targeted Surveillance initiative
- Gather and maintain data metrics.
- Assist in conducting root cause analysis with the business to ensure misconduct issues are not repeated.
- Liaise with relevant stakeholders (Compliance management, Desk Heads, Senior Managing Directors) when issues arise.
- Fulfil any additional / ad hoc duties required to meet the needs of the business and function.
Essential
- A knowledge of approaches to surveillance in financial markets.
- Good planning and execution skills, attention to detail, analytical ability, and problem-solving skills.
- Effective oral communication and persuasion skills. Experience of working with a variety of stakeholders at a firm.
- Good written communication skills, including investigation report drafting.
- Good organizational skills and ability to successfully manage multiple datasets, including understanding, collating and 'fixing data'.
- Comfortable around technology and interested in the opportunities that technology can offer.
- Self-starter, motivated and able to work independently and as part of a team.
- Ability to work under pressure, responding to urgent queries accurately and effectively.
- Over 3-5 years surveillance or related experience.
- Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.).
- Knowledge of wholesale financial markets and the financial products traded within Commodities, Interest Rates, Fixed Income and Equities asset classes.
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
USA - 200 Vesey Street - New York, NY
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