Core Compliance Associate
2 weeks ago
Corporate culture and guiding principles:
TP ICAP is a global firm of professional intermediaries that plays a pivotal role in the world’s financial, energy and commodities markets.
Operating through our core businesses, Tullett Prebon, ICAP, PVM, Institutional Services and TP ICAP Data & Analytics, we create strong networks in person and through technology. We provide comprehensive analysis and insight into market conditions and long-term trends. We combine data, knowledge and intelligence into contextual insight and commercial guidance. By engaging
with our clients, and providing innovative products and services, we enable our clients to transact with confidence, facilitating the flow of capital and commodities around the world, enhancing investment and contributing to economic growth.
We are known in the market for our Honesty, Integrity, and Excellence in the provision of service to our clients. Above all else, we Respect our clients and each other, without bias. Employees are expected to uphold the values and principles of our cultural framework in performance of their job duties.
Department Overview & Role Summary:
The Compliance function is responsible for proactively engaging with the business to provide clear advice and support to;
- Ensure the group continues to meet all applicable regulatory requirement
- Protect the group and its staff from regulatory sanction
- Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence
The role sits within the EMEA Core Compliance Team primarily focused on employee Compliance activities as per Control Framework
Job duties:
Assisting with the processes undertaken by the Employee Compliance function including, but not limited to:
- Processing of FCA Senior Management Function documentation.,
- Effectively follow steps designed for end to end processing of brokers Certification under SMCR
- Review outcome of attestations submitted by brokers in Redland and assess if any follow up or escalation is required
- Providing access to professional qualifications and training through learning providers.
- All aspects of registered persons requirements in respect of US branch registrations, NFA registrations and 15a-6 waivers
- Assigning and chasing of Compliance training across EMEA and maintenance of those records
- New Joiner processing; training set up, sending of policy documents, competency assessments
- Reconciliation of PA Dealing requests and associated contract notes
- Reconciliation and processing of regulatory/training invoices
- Collate and produce monthly EMEA Compliance Management Information
- Administration of Exchange Registrations (e.g. Eurex, ICE, CME)
- Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues.
- Seeking confirmation that certain tasks have been conducted as per Compliance Control Framework.
- Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals.
- Assisting with ad hoc work, investigations and project issues as required.
- Ensuring that compliance documentation and procedures in respect of individual responsibilities are regularly reviewed and updated.
- Remaining informed of changes to the regulatory environment.
Requirements for the role:
- Previous experience gained working in a financial services firm undertaking Compliance Administration essential.
- Knowledge of the FCA’s Senior Managers and Certification Regime (SMCR) preferred.
- Delivering Business Success - Desiring Quality - pays attention to detail, checks own work for accuracy and quality and takes personal responsibility for achieving quality standards. Sets goals and targets for self which improve upon previous performance and constantly strive to exceed existing quality and service standards.
- Providing Direction - Thinking Strategically - Understands own business’ targets and goals and fully understands the competitive context in which it operates and looks for ways to add value to the organisation. Periodically steps back from immediate operational concerns to check progress against broader goals and their fit with the organisation’s strategic objectives.
- Excellent communication and interpersonal skills.
- Flexibility to take on other team roles as the workload demands
- Ability to work under pressure, responding to urgent queries accurately and effectively.
Location
UK - City Quays - Belfast
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