Compliance Advisory Manager

3 weeks ago

London, UK, United Kingdom TP ICAP Full time
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.

Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 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

Working as a member of the EMEA Compliance team, this role will support the Compliance Senior Advisory Manager covering the Liquidnet Division as well as Credit & Equities Business in the Global Broking division. The compliance Advisory manager will work closely with the business divisions to reinforce the compliance culture within TP ICAP's EMEA offices, advise and support on conduct of business requirements, review and update policies and procedures, and provide regulatory advice and strategic compliance support.

All Compliance Advisory Managers will support the senior managers to mentor and help develop the more junior members of the team. All Compliance Advisory Managers will provide clear advice and support to enable the Global Broking business divisions to operate in accordance with all applicable regulatory requirements.

The Compliance Advisory Manager will work as a member of the Compliance Advisory team, based in TP ICAP's London offices and will report directly into a Compliance Senior Advisory Manager.

The Compliance Advisory Manager will work to create a compliance culture within the TP ICAP Group, 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 stakeholders (Senior Managers within the business, 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 Senior Management across the TP ICAP Group, specifically with the Senior Managing Directors, and Desk Heads within the Global Broking business
  • Support the Compliance Advisory Senior Management
  • 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
  • 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 including leading desk reviews and thematic reviews
  • Write compliance training material and support the Compliance Team in the delivery of the training
  • 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
  • Interaction and represent TPICAP at Exchanges and 3rd Party Venues meetings
  • Identification of 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
  • 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.
  • Mentoring Compliance Advisory Officers and Compliance Associates, providing support and guidance to the development of these individuals.
  • Contribute to the cultural environment, encouraging behaviours that promote respect and comply with policy and the Company values.
  • Promote the compliance culture across the TP ICAP Group
Experience / Competences

Essential
  • Excellent 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.
  • Significant experience in a compliance or operational risk role within Financial Services.
  • A bachelor's degree or a period of work experience demonstrating equivalent ability.
  • Excellent communication skills, both verbal and written.
  • Highly experienced in 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.
  • Experience of Wholesale Financial Markets
  • Able to understand different operating models and how key financial regulations impact these models
  • Experience of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
  • Excellent communication skills, both verbal and written.
  • Demonstrates excellent teamwork and collaboration.
  • Adapts communication style to suit the audience that is being addressed.
  • Able to effectively deliver difficult messages to influence.
  • Able to demonstrate honesty, integrity and professionalism.
  • Works ethically and shows respect for both professional and company values.
  • Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
  • Projects personal credibility and is personable and engaging.
  • Able to work well with diverse groups and personalities.
Desired
  • Demonstrable evidence of motivating and engaging a team and ensuring alignment to business goals and high delivery of team performance.
  • Experience of inter-dealer broking.
  • Strong knowledge of specific execution methodologies e.g. Name Give Up, Matched Principal, Exchange Give Up.
  • Experience of Agency Broking activity
  • Good understanding of Credit, Equities as ETD Markets
  • Understanding of Rates and FX agency activity
  • Knowledge of Dood Frank requirements relating to swap dealer activity
  • Experience with OTF and MTF trading venues compliance and or operation.
  • A good understanding of MiFIR Transaction Reporting and Transparency requirements
Role Band & Level: Manager, 6

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

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