Job Title: Compliance Associate

Contract Type: Permanent

Location: Warsaw, Poland

Department: Compliance

What the Hiring Manager says….

This is an excellent opportunity to join a small team that is in its growth phase and be a part of setting up the surveillance framework at ICG.

Summary of our opportunity

The Compliance team consists of 21 employees, situated across London, Warsaw, Luxembourg, 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.

As part of this team, you will be responsible for the execution of the Compliance Surveillance activities, including assisting with building the ICG Surveillance Model 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 Compliance Manager with the management and design of the eCommunications Surveillance Model 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 that need to be escalated.
• Generate comprehensive reports on surveillance findings and promptly communicate them to the Compliance Manager or the relevant stakeholders.
• Develop an understanding of personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment, Directorships, etc.

Trade Surveillance:

• Assist the Compliance 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 distill 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 in your Compliance career. Extensive training will be provided to the correct candidate.

Our Global Benefits Framework is centered 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.

Why ICG?

ICG (Intermediate Capital Group) is a FTSE-listed, FCA-regulated alternative asset manager creating sustainable value by partnering with ambitious businesses. We have over 30 years' history and today we manage $82.1bn* of assets and invest across the capital structure. The firm employs over 575 people in 16 countries around the world and is well positioned for growth and benefits from the long-term trend of increased demand for alternative investments.

To make the most of your career at ICG, you will be inquisitive, self-motivated, engaged, collaborative and agile. ICG is a place where we are all dedicated to achieving common goals.

Our teams describe ICG as ambitious, collaborative, empowered, entrepreneurial, professional and acting with integrity. We translated these attributes into a core set of values and, together with our purpose, this represents who we are today and whom we aspire to be tomorrow.

For three decades we have been constantly striving for excellence in all aspects of our business. Whether that is through the people who join us, how we support and develop them throughout their career, and the culture we create and live in. It is also evident in the role we play in society through the investments we make, our charity work and what we stand for.

We relentlessly pursue our ambition to provide an inclusive and diverse environment where everyone has plenty of opportunities to contribute, succeed and be themselves.

ICG will provide equal employment opportunity to all employees and applicants for employment. No employee will be discriminated against in hiring or employment because of race, colour, sex, age, disability, religion, national origin, marital status, sexual orientation, gender identity and/or expression, ancestry, military status, genetic information, or any other basis protected by applicable federal, state or local law.