Regulatory Compliance Officer - London, United Kingdom - TP ICAP

TP ICAP

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

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Description

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 Advisory team, you will report into the Senior Compliance Advisory Manager. As such, the role-holder will be a part of the EMEA Compliance function, based in TP ICAP's London offices.

The Regulatory Compliance Officer will work to create a compliance culture within the TP ICAP Group, with particular responsibility for the UK broking divisions.

Role Responsibilities- Horizon-scanning to detect and track emerging regulatory requirements.- Interpreting emerging regulatory requirements and advising stakeholders on their potential impact and associated control requirements.- Developing and maintaining relationships with stakeholders across TP ICAP, including the EMEA COO, the EMEA Head of Venues and Market Infrastructure, and Legal.- Interacting with trade associations, exchanges and regulators as required, including representing TP ICAP at industry or regulatory meetings.- Representing EMEA Compliance in internal governance meetings, such as the Regulatory Change Oversight Meeting, and in subsequent regulatory implementation projects.- Creating and delivering training materials on regulatory requirements.- Reviewing and drafting policies and procedures to comply with relevant regulatory requirements.- Performing ad-hoc reviews and investigations in to TP ICAP's adherence to its regulatory requirements. Review output from the Compliance Monitoring Programme and implement remedial actions.- Project work as required from time to time.- Fulfil additional / ad hoc duties as required to meet the needs of the business and the EMEA Compliance function.

Experience / Competences

Essential- 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.- Previous experience analysing wholesale market regulations and assessing their impact.- Excellent communication skills, both verbal and written.- Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.- Able to work well with diverse groups and personalities.- A bachelor's degree or a period of work experience demonstrating equivalent ability.

Desired- Prior experience at a regulator or government agency in drafting or reviewing financial services policy.- Prior experience in a compliance role at another Financial Services firm.- Knowledge of specific execution methodologies e.g.

Name Give Up, Matched Principal, Exchange Give Up.

Not The Perfect Fit?

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.

LI-ASO #LI-Hybrid

Location

UK - 135 Bishopsgate - London