Compliance Advisory Associate - London, United Kingdom - TP ICAP

TP ICAP

Verified Company

London, United Kingdom

2 weeks ago

Posted by:

Tom O´Connor

beBee Recruiter

Description

Job Description

Compliance Advisory Associate - future opportunities

TP ICAP Group Overview:
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:

Role Responsibilities:

Cultivate and nurture relationships with Desk Head and Brokers within the TP ICAP Group, particularly in the Global Broking business, to facilitate effective communication and collaboration.
Offer prompt and precise regulatory guidance to the business, ensuring adherence to regulatory requirements.
Assist the Compliance Team in conducting Regulatory Analysis, assessing the impact of upcoming regulations on relevant business areas, and proactively identifying compliance implications.
Contribute to the drafting of policies and internal procedure documentation, including but not limited to the Conflicts of Interest Policy and Compliance Manual, to uphold regulatory compliance standards.
Collaborate with the Compliance Team to identify, formulate, and implement compliance controls, ensuring a robust compliance framework.
Execute specific controls owned by the Compliance Function, ensuring their effectiveness and alignment with regulatory standards.
Support the Compliance Team in conducting investigations into activities within the Global Broking business, ensuring compliance with pertinent regulations.
Develop comprehensive compliance training material and assist in the delivery of training sessions to enhance awareness and understanding of compliance requirements.
Collaborate with the Compliance Team in internal Change Management Governance meetings and contribute to projects delivering regulatory change, ensuring smooth integration of compliance measures.

Experience / Competences:

Essential- Practical understanding of Financial Services / Wholesale Financial markets.- 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.- Experience in a compliance or operational risk role within Financial Services.- Excellent communication skills, both verbal and written.- Previous experience analysing regulations and assessing their impact on the business.- Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.

Desired- Experience / understanding of inter-dealer broking.- Working 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.

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-Hybrid #LI-ASO

Location

UK - 135 Bishopsgate - London