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Markets Compliance Advisory Officer

2 months ago

London, United Kingdom TP ICAP Full time
Title: Markets Compliance Advisory Officer

Global Broking Credit and Equities Agency Execution

Company Overview:

The TP ICAP Group is a world leading provider of market infrastructure.

Our purpose is to provide clients with access to global financial and commodities markets, improving price discovery, liquidity, and distribution of data, through responsible and innovative solutions.

Through our people and technology, we connect clients to superior liquidity and data solutions.

The Group is home to a stable of premium brands. Collectively, TP ICAP is the largest interdealer broker in the world by revenue, the number one Energy & Commodities broker in the world, the world's leading provider of OTC data, and an award winning all-to-all trading platform.

The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong. We work as one to achieve our vision of being the world's most trusted, innovative, liquidity and data solutions specialist.

Role Overview:

As a member of the EMEA Compliance team, the Compliance Advisory Officer will report to the Compliance Advisory Manager and play a key role in fostering a compliance culture within TP ICAP's London Global Broking business divisions as well as Liquidnet's Agency Execution division.

This role involves advising and supporting business divisions on regulatory requirements, reviewing and updating policies and procedures, and providing strategic compliance support. The officer will conduct regulatory analyses, deliver compliance advice and training, and implement conduct of business controls, working closely with stakeholders including Business Managers, Heads of Desks, Brokers, Legal, Risk, HR, IT, Finance, Operations, and the wider Compliance function.

Role Responsibilities:
  • Develop and maintain relationships with Business Managers, Desk Heads and Brokers across the TP ICAP Group
  • Interaction with Exchanges and 3rd Party Venues
  • Provide timely and accurate regulatory advice to the business
  • Perform Regulatory Analysis; identifying the impact of upcoming Regulation on the relevant business areas
  • Draft policies and internal procedure documentation e.g. Conflicts of Interest Policy and Compliance Manual
  • Identify/Write/Implement compliance controls
  • Operate/Execute specific controls owned by the Compliance Function
  • Perform investigations into the activities within the Global Broking business to ascertain compliance with the relevant regulations
  • Write internal compliance communications
  • Write and deliver compliance training material
  • Represent the Compliance Function on the internal Change Management Governance meetings and on projects delivering regulatory change
  • Represent the Compliance Function on internal Governance Forums & Working Groups
  • Represent TP ICAP at external meetings and events e.g. National Competent Authority meetings and industry associations events
  • Identification of risks and risk mitigation solutions
  • Review output from the Compliance Monitoring Programme and implement remedial actions
  • Review of legal entity permissions and supporting applications for new/amended permissions as required
  • Project work as required from time to time.
  • Fulfil additional / ad hoc duties as required to meet the needs of the business.
Experience / Competences:

Essential
  • Prior experience of Wholesale Financial Markets.
  • Experience of either/or Fixed Income, ETD and Equity products.
  • Experience in either a 1st/2nd LOD regulatory position (for example, Compliance or Operational Risk).
  • Knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
  • Experience with OTF and MTF trading venues compliance and or operation.
  • Excellent communication skills, both verbal and written.
  • Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e.g. MiFID II and SMCR etc.
Desired
  • Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
  • Experience of inter-dealer broking.
  • Previous experience analysing regulations and assessing their impact on the business.
  • Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
  • Able to work well with diverse groups and personalities.
Role Banding
Professional

Not The Perfect Fit?

Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.

Company Statement

We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement.

Location
UK - 135 Bishopsgate - London