Sobre esta vaga de Analyst, Compliance (Surveillance) na Intermediate Capital Group
Job Title: Analyst, Compliance (Surveillance)
Contract Type: Permanent, full-time
Location: Warsaw, Poland
Work Pattern: Hybrid (4 days per week in the office, 1 day remote)
Department: Compliance
What the Hiring Manager says….
‘This is an excellent opportunity to join a small team that is in its growth phase and to be a part of the growth and development of the Surveillance team at ICG.’
Summary of our opportunity
The Compliance team consists of 28 employees, situated across London, Luxembourg, Madrid, Warsaw, Singapore and the US. As a small team supporting a unique group, roles are varied, often challenging and cover a broad range of regulations and all jurisdictions in which the Group operates. Collectively, the team supports 10+ regulated entities offering investment management and advisory services from five core jurisdictions. Our private funds include Mezzanine and Equity, Credit, Senior Debt, Real Estate and Secondaries and are marketed into 30+ jurisdictions.
Within that team, the Surveillance function is responsible for helping to maintain effective arrangements for the detection and investigation of potential market abuse, policy breaches and conduct issues across trading activity, electronic communications and voice records.
As part of this team, you will support the execution and development of ICG’s Surveillance Programme across trade surveillance, e-communications surveillance and voice surveillance. You will review alerts, investigate context, document outcomes, escalate issues where appropriate and help improve the quality, efficiency and risk-based design of the control framework over time.
Extensive training will be provided to the successful candidate.
Primary Responsibilities for this role include (but are not limited to):
E-Communications Surveillance:
Assist the Surveillance Manager with the design, management and enhancement of the e-Communications Surveillance Programme, including lexicons, rules and monitoring frameworks.
Conduct monitoring and analysis of electronic communications across relevant platforms, identifying conduct risks, information leakage and policy breaches for escalation.
Generate clear, audit-ready reports on surveillance findings and communicate outcomes to the Surveillance Manager and relevant stakeholders.
Develop an understanding of personal Conflicts of Interest (e.g. Personal Account Dealing, Outside Business Interests, Gifts & Entertainment, Directorships) and incorporate these into surveillance activities.
Trade Surveillance:
Assist the Surveillance Manager with the oversight and enhancement of the Trade Surveillance model across ICG.
Perform monitoring and analysis of trading activity across asset classes to identify potential market abuse (e.g. market manipulation, insider dealing) and best execution concerns.
Support both automated surveillance tools (e.g. Bloomberg BTCA) and manual reviews using OMS data, ensuring robust investigation and clear close-out rationale.
Develop in-depth knowledge of the Trade Surveillance framework and Best Execution requirements under MiFID II.
Stakeholder Management:
Develop strong knowledge of ICG’s business model, strategies and products to assess alerts in the appropriate commercial and regulatory context.
Build effective working relationships across Compliance, Credit, Treasury and other functions.
Become a trusted advisor to stakeholders.
Key Requirements/ Qualifications
You will have demonstrable experience of:
Experience working in an Investment / Wholesale Bank, PE or Asset Manager (€1bn+ AUM) or a Leveraged Finance environment.
Experience in a Surveillance or Compliance role (2+ years).
Good knowledge of European and UK (FCA) regulation, particularly Market Abuse.
Knowledge and experience of bond / credit markets (FX exposure is advantageous).
Familiarity with surveillance tools (e.g. Bloomberg) is beneficial.
Degree in Law, Finance, Accounting, Economics, Business Administration or similar.
Personal Attributes
Personal attributes that will make you successful in this role include but are not limited to:
Exceptional attention to detail and strong analytical capability.
Strong written and verbal communication skills.
Excellent relationship builder with strong stakeholder management skills.
Well organised, with the ability to manage competing priorities in a fast-paced, evolving environment.
Ability to distil regulatory or policy information into clear, practical guidance.
Confident working independently with limited direction and sound judgement.
Resilient, motivated and able to work across teams and cultures.
Reliable, trustworthy and professional.
Our Global Benefits Framework is centred around these 3 key attributes:
Wellbeing - Supporting your mental, physical and financial wellbeing as well as your lifestyle needs.
Inclusivity – Fit for purpose and competitive, no matter who or where you are.
Longevity – Long Term and sustainable in design.
Inclusion is one of ICG’s key values and we are committed to creating an equitable and inclusive workplace for everyone. By welcoming different perspectives, we strengthen ICG’s performance, enrich decision-making and contribute to better outcomes for our clients, colleagues, and the markets we serve. Accordingly, our recruitment processes provide equal employment opportunities to all applicants and employees, regardless of age, ethnicity, disability, sex, gender, sexual orientation, religion, or any other characteristic protected by local law.
We are equally committed to delivering an inclusive and accessible candidate experience. If you require information in an alternative format, additional time for assessments, an adjusted interview schedule, or any other support during the recruitment process, please let us know.
