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Compliance Advisory Officer

2 months ago

London, United Kingdom TP ICAP Full time
Job Summary

We are seeking a highly skilled Compliance Advisory Officer to join our team at TP ICAP. As a key member of our EMEA Compliance team, you will play a vital role in fostering a compliance culture within our Global Broking business divisions and Liquidnet's Agency Execution division.

Key Responsibilities
  • Develop and Maintain Relationships: Build and maintain strong relationships with Business Managers, Desk Heads, and Brokers across the TP ICAP Group.
  • Regulatory Analysis and Advice: Conduct regulatory analyses, provide timely and accurate regulatory advice to the business, and identify the impact of upcoming regulations on relevant business areas.
  • Policies and Procedures: Develop, maintain, and update policies and procedures, including Conflicts of Interest Policy and Compliance Manual.
  • Compliance Controls: Identify, write, and implement compliance controls, and operate/executed specific controls owned by the Compliance Function.
  • Investigations and Compliance Communications: Perform investigations into activities within the Global Broking business to ensure compliance with relevant regulations, and write internal compliance communications.
  • Training and Representation: Write and deliver compliance training material, represent the Compliance Function on internal Change Management Governance meetings and projects, and represent TP ICAP at external meetings and events.
  • Risk Management: Identify risks and risk mitigation solutions, review output from the Compliance Monitoring Programme, and implement remedial actions.
  • Legal Entity Permissions: Review legal entity permissions and support applications for new or amended permissions as required.
Requirements
  • Experience: Prior experience in Wholesale Financial Markets, with experience in either Fixed Income, ETD, and Equity products, and in a 1st/2nd LOD regulatory position.
  • Knowledge: Good working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations.
  • Skills: Excellent communication skills, both verbal and written, and ability to build relationships and communicate effectively with internal and external stakeholders.
What We Offer

As a Compliance Advisory Officer at TP ICAP, you will have the opportunity to work in a dynamic and innovative environment, with a team of experienced professionals who are passionate about compliance and risk management. You will be responsible for ensuring that our business operations are in line with regulatory requirements, and that our clients receive the highest level of service and support.

We are committed to fostering a culture of inclusivity and diversity, and we welcome applications from candidates who share our values and are passionate about compliance and risk management.