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Compliance Monitoring Associate - 12 month FTC

Belfast, Northern Ireland, GB

Company: TP ICAP

Category: Management Occupations

Published on 2022-05-11 23:52

Corporate culture and guiding principles:

TP ICAP operates at the heart of the world’s financial, energy and commodities markets.

We are professional intermediaries playing a pivotal role in the world’s financial markets, covering FX, Rates, Credit, Equities, Energy & Commodities.

Globally, we are a leading provider of services to market participants, with execution via a range of regulated venues, covering a full spectrum of over-the-counter (OTC) asset classes. Matching buyers and sellers, we facilitate the development of liquidity and price discovery in these markets and provide insight and context to our clients. We operate a hybrid model where brokers provide business-critical intelligence to clients. It’s supplemented by proprietary screens for historical data, analytics and execution functionality.

Our clients include banks, insurance companies, pension and hedge funds, asset managers, energy producers and refiners, as well as risk and compliance managers and charities.

We are known in the market for our Honesty, Integrity and Excellence in the provision of service to our clients. Above all else, we Respect our clients and each other, without bias. Employees are expected to uphold the values and principles of our cultural framework in performance of their job duties.

Department Overview & Role Summary:

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
  • 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 escalate any matters as required.

Job duties:

  • Conducting ‘level one’ assessment of alerts triggered from TP ICAP’s Trade/Order and Communications Surveillance systems.
  • Escalating alerts to the Core Surveillance team in London that require further investigation.
  • Pro-actively making recommendations on the tuning of alerts within the Compliance Surveillance systems.
  • Performing monitoring controls as per Compliance Controls Framework.
  • Recording findings from Compliance Controls Framework in ServiceNow
  • Assisting with the compilation of pre-visit information for Compliance Desk Reviews.
  • Assisting other Compliance Officers in real and post trade monitoring of compliance with relevant Exchange rules.
  • Assisting with ad hoc work, investigations and project issues as required.
  • Remaining informed of changes to the regulatory environment and in conjunction with the Monitoring Team.

Requirements for the role:


  • 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
  • Delivering Business Success – Desiring Quality: pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards.


  • Degree educated, preferably within a STEM subject.
  • Previous practical experience gained in a monitoring 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.


  • Open to innovative ideas/ experiences and ability to create new ideas, approaches or insights
  • Seeks opportunities for improvements
  • Handles situations and problems with innovation and creativity

Dynamic & Competitive

  • Demonstrates high levels of energy in seeking out and achieving new goals
  • Goes that “extra mile”
  • Is a self-starter
  • Shows evidence of being comfortable working in fast paced or pressured environments
  • Enjoys a challenge and is able to escalate
  • Does not give up easily

Open & Communicative

  • Adapts communication style to suit audience
  • Projects personal credibility
  • Interacts confidently without being overbearing
  • Ability to work effectively in a high pressure environment
  • Keeps emotions under control in difficult situations
  • Handles criticism constructively

Professional Integrity

  • Able to demonstrate honesty, integrity and professionalism
  • Promotes loyalty to TP ICAP and its principles
  • Works ethically and shows respect for both professional and company values


  • Excellent attention to detail, highly organised with a proactive approach
  • Strong analytical ability and problem solving skills

This is initially a 12 month fixed term contract.