Compliance Associate Director

Job Title: Compliance Associate Director   

Contract Type: Permanent, full-time

Location: London, St Pauls 

Work Pattern: 3 days in the office, 2 working from home 

Department: Compliance 

What the Hiring Manager says…. 

This is great opportunity to take over the management of a small Central Compliance & Trade Surveillance Team based in London and Warsaw. The Central Compliance and Trade Surveillance Teams at ICG have been on a growth trajectory over the last few years at ICG and are now at the stage where they need a dedicated management resource to provide support and guidance to the team as they move forward. 

You will be looking for a role that plays to your strengths but that is not your typical Trade Surveillance or Central Compliance Management Role. ICG is predominantly a private markets firm, but it also has extensive touchpoints to various regulators and regulations globally. To be successful in this role you will need to take existing knowledge and experience and apply this to the ICG operating model. 

This is an opportunity to take the role forward and develop both teams and inevitably take on more tasks as your experience of ICG increases. 

Summary of our opportunity 

• Take over the day-to-day management of the Central Compliance Team and Trade Surveillance Teams from the Compliance Director. 

• Being responsible for the function of the teams, their growth and development 

• The Central Compliance Team are responsible for the Code of Ethics across ICG including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment, Information Walls, Market Soundings, Chaperones and conflicts of interest across the entire ICG footprint. 

• The Trade Surveillance Team is responsible for eComms and Trade surveillance across IC. However, as ICG is mainly a private markets firm Trade Surveillance is limited in nature. 

• The Teams are situation in London and Warsaw but are part of a wider Compliance Team located across London, New York, Singapore, Warsaw and Luxembourg. 

• This role will touch all parts of ICG but key stakeholders will include Compliance Directors, Head of Risk, Global Head of Compliance & Risk and Heads of Strategies 

Primary responsibilities for this role include (but are not limited to): 

Central Compliance   

• Support the Compliance Director by taking over day to day management of the Central Compliance Team. 

• This is a hands-on role so you will be expected to become proficient in all areas of Central Compliance. 

• Be responsible for the identification and management of Conflicts of Interest across the multiple business lines and geographies of ICG. 

• Oversee the management of personal Conflicts of Interest including Personal Account Dealing, Outside Business Interests, Gifts & Entertainment and Directorships. 

• Management of Personal Account Dealing and the implications of staff trading. 

• Oversee the management of Market Soundings and wall crossings 

• Knowledge and expertise of Information Walls  

• Ability to undertake chaperone discussions between public & private sides of ICG 

Trade Surveillance 

• Management of the Trade and Ecommunications Surveillance Teams at ICG (based in Warsaw) 

• Be the primary escalation point for trade surveillance queries from the team 

• Work with the team to develop Policies, Procedures and Manuals 

Advisory Compliance 

• Able to provide advice and guidance to strategies and individuals across ICG with respect to Compliance Policies 

Team Management / Leadership 

• Excellent management and leadership skills with a focus on coaching and training individuals within the team to succeed 

• Excellent stakeholder management skills 

• Outstanding communication skills 

• Humble and respectful to Team members 

Key Requirements/ Qualifications 

You will have demonstrable experience of:  

Essential 

• 8+ years Compliance experience. Control Room experience preferred. 
• Extensive experience of Trade & eComms Surveillance 
• Experienced of running a Compliance Team especially across multiple jurisdictions 
• Experience working in an Investment / Wholesale Bank, PE & Asset Managers with €10bn + AUM or Leveraged Finance organisation.  
• Degree in Law, Finance, Accounting, Economics, Business Admin or suitable relevant experience in lieu of qualifications 

Desirable 

•  MyComplianceOffice (“MCO”) experience 

 Personal Attributes 

Personal attributes that will make you successful in this role include but are not limited to:  

• Ability to work across multiple cultures 
• Exceptional attention to detail 
• Strong communication skills 
• Excellent team player / relationship builder 
• Ability to work in a high paced and constantly evolving environment Well organised with the ability to juggle competing workloads 
• Can do attitude 
• Resilient and motivated to succeed 
• Reliable, responsive, trustworthy and respected 
• Patient & pragmatic 

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. 

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.