Compliance Advisory Associate

3 days ago

London, Greater London, United Kingdom TP ICAP Full time
Role Overview

As a key member of the EMEA Compliance team, this role supports the Compliance Advisory Managers and Officers in overseeing the Global Broking Credit, Equities business, and the Liquidnet Agency Division. The Compliance Associate will collaborate closely with business divisions to strengthen TP ICAP's compliance culture across EMEA offices, provide guidance on business conduct requirements, update policies and procedures, and offer regulatory and strategic compliance support.

Key Responsibilities
  • Develop and maintain relationships with Desk Heads and Brokers across the TP ICAP Group, specifically within the Global Broking business.
  • Provide timely and accurate regulatory advice to the business.
  • Support the Compliance Team in performing Regulatory Analysis, identifying the impact of upcoming regulations on the relevant business area.
  • Support the Compliance Team in drafting policies and internal procedure documentation, such as Conflicts of Interest Policy and Compliance Manual.
  • Support the Compliance Team to identify, write, and implement compliance controls.
  • Operate and execute specific controls owned by the Compliance Function.
  • Support the Compliance Team to perform investigations into the activities within the Global Broking business to ascertain compliance with relevant regulations.
  • Write compliance training material and support the Compliance Team in delivering the training.
  • Support the Compliance Team with internal Change Management Governance meetings and on projects delivering regulatory change.
  • Support the Compliance Team to represent on internal Governance Forums & Working Groups.
  • Identify risks and support the Compliance Team with risk mitigation solutions.
  • Support the Compliance Team to review output from the Compliance Monitoring Programme and implement remedial actions.
  • Support the Compliance Team to review legal entity permissions and supporting applications for new or amended permissions as required.
Requirements
  • Experience of Wholesale Financial Markets.
  • Working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations, such as MiFID II and SMCR.
  • Experience in a compliance or operational risk role within Financial Services.
  • Excellent communication skills, both verbal and written.
  • Previous experience analyzing regulations and assessing their impact on the business.
  • Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
Desirable Skills
  • Experience of inter-dealer broking.
  • Working knowledge of specific execution methodologies, such as Name Give Up, Matched Principal, Exchange Give Up.
  • Experience with OTF and MTF trading venues compliance and operation.
  • Understanding of risk-based approaches and assessments, as well as control design and implementation in Risk and Compliance.

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