Compliance Associate

Job Title:                               Compliance Associate

Contract Type:                      Permanent

Location:                               Warsaw, Poland

• Work Pattern:                       Hybrid (3 days a week from the office, 2 days Working from Home)

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 21 employees, situated across London, Warsaw, Luxembourg, Singapore and the US.  As a small team supporting a unique group, roles are varied, often challenging and cover a broad range of regulation and all jurisdictions in which the Group operates. Collectively the team support 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.

As part of this team you will be responsible for the execution of the Compliance Surveillance activities, including assisting the Surveillance Manager in developing, improving and implementing ICG’s Surveillance Program across Trade Surveillance and Electronic Communications Surveillance. Fundamental to this role is the ability to review alerts, investigate them fully and provide clear, concise advice and guidance to stakeholders.

Primary Responsibilities

Your key responsibilities include, but are not limited to:

Surveillance:

• Assist the Surveillance Manager with the management and design of the e-Communications Surveillance Program and with the improvement of the Surveillance Lexicons and rules applied.
• Conduct monitoring and analysis of the electronic communications alerts and detect irregularities and policy breaches needed to be escalated.
• Generate comprehensive reports on surveillance findings and promptly communicate them to the Surveillance Manager or to the relevant stakeholder.
• Develop an understanding of personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment, Directorships, etc.

Trade Surveillance:

• Assist the Surveillance Manager with the management of the Trade Surveillance Model across ICG.
• Conduct monitoring and analysis of the ICG trading activity to detect market manipulation or insider dealing.
• Develop in depth knowledge and expertise of our Trade Surveillance program and on the Best Execution requirements under MiFID II.

Stakeholder Management:

• Develop expert knowledge of ICG and its strategies.
• Develop and build relationships across ICG.
• Become a trusted advisor to stakeholders.

Key Requirements/ Qualifications

You will have demonstrable experience of: 

• Experience working in an Investment / Wholesale Bank, PE & Asset Managers with €1bn + AUM or Leveraged Finance organisation.
• Experience in a Surveillance role (2+ years of experience in Compliance)
• Degree in Law, Finance, Accounting, Economics, Business Admin or similar.
• Knowledge / Experience of European and FCA regulation, especially Market Abuse
• Knowledge and experience of bond markets
• Exceptional attention to detail
• Strong communication skills
• Excellent relationship builder/networker
• Outstanding stakeholder management
• Ability to work in a high paced and constantly evolving environment
• Well organised with the ability to juggle competing workloads
• Ability to distil regulatory or policy information into a digestible form for stakeholders
• Resilient and motivated to succeed
• Reliable, trustworthy, and respected
• Ability to work across multiple cultures
• Ability to work with limited direction

This is an excellent opportunity to join a great team that is well respected across ICG and to move to the next step on your Compliance career. Extensive training will be provided to the correct candidate.

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.