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Compliance Advisory Officer

2 months ago

London, United Kingdom TP ICAP Full time

Job Description

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 this role will report into the Compliance Advisory Manager. The Advisory Officer will work closely with the business divisions to reinforce the compliance culture within TP ICAP, advise and support on conduct of business requirements, review and update policies and procedures, and provide regulatory advice and strategic compliance support.

The Compliance Advisory Officer will directly support the other Compliance Advisory Officers and Compliance Advisory Managers to provide clear advice and support to enable the Global Broking business divisions to operate in accordance with all applicable regulatory requirements.

The Compliance Advisory Officer will work as a member of the Compliance Advisory team, based in TP ICAP’s London offices and will report directly into a Compliance Advisory Manager. The Compliance Advisory Officer will work to create a compliance culture within the TP ICAP Group, encouraging behaviours that promote respect and comply with policy and the Company values, with particular responsibility for the London Global Broking business divisions.

The role will include conducting regulatory analyses, delivering compliance advice and training, and identifying and implementing conduct of business controls. Key stakeholders include: Business Managers, Heads of Desks and 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 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.Experience / Competences:
- 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.- A bachelor’s degree or a period of work experience demonstrating equivalent ability.- Excellent communication skills, both verbal and written.- Previous experience analysing regulations and assessing their impact on the business.- Demonstrable evidence of motivating and engaging a team and ensuring alignment to business goals and high delivery of team performance.- Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.- Able to work well with diverse groups and personalities.- Experience of Wholesale Financial Markets and / or experience of inter-dealer broking.- Demonstrated 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.- Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.

Company Statement:
The TP ICAP Group is committed to promoting Equality and Diversity and encouraging a culture that actively values difference. It is recognised that employees from different backgrounds and experiences can bring valuable insights to the work environment and enhance the way we work. TP ICAP aims to create a positive, cohesive and inclusive cu