Full-Time

Equities Compliance Officer

Confirmed live in the last 24 hours

TP-ICAP

TP-ICAP

1,001-5,000 employees

Brokers energy and commodities transactions

Data & Analytics
Energy
Financial Services

Compensation Overview

$200k - $225kAnnually

Senior, Expert

New York, NY, USA

This is a hybrid position requiring in-office work in New York.

Category
Risk & Compliance
Legal & Compliance

You match the following TP-ICAP's candidate preferences

Employers are more likely to interview you if you match these preferences:

Degree
Experience
Requirements
  • In-depth knowledge of Reg ATS, Reg NMS, Equity Derivatives, and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF)
  • 7 -10 years of experience supporting equities compliance at a broker-dealer
  • College degree required
  • Series 7, 14, and 24 or ability to obtain the licenses upon hiring
  • Strong writing skills
Responsibilities
  • Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution
  • Respond to and address inquiries from various equity and equity derivatives business units throughout the firm to ensure compliance with applicable laws, regulations and firm policies
  • Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff
  • Review and advise on new business initiatives
  • Manage and respond to regulatory examinations, investigations and inquiries related to the firm’s equities businesses
  • Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries
  • Draft, review, and revise manuals, policies, written supervisory procedures, and other documents
  • Create and maintain controls relevant to regulatory reporting and other applicable rules and regulations; perform assurance work as necessary
  • Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules
  • Conduct periodic assessments and other reviews to identify and remediate potential gaps
  • Develop and enhance supervisory reports as needed
  • Conduct periodic training
  • Identification of risks and risk mitigation solutions
  • Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Risk, Client On-Boarding, AML Office, and IT)
  • Fulfill additional / ad hoc duties as required to meet the needs of the Business
Desired Qualifications
  • Must have a strong work ethic and the ability to work well with others
  • Must have strong verbal and analytical skills
  • Must have an aptitude for technical matters
  • Must be able to manage multiple tasks simultaneously
  • Must have experience working with senior stakeholders

TP ICAP provides liquidity and data solutions in the financial markets, focusing on energy and commodities, especially oil products. The company brokers transactions for clients, including institutional investors and corporations, by facilitating Over the Counter (OTC) swaps, forwards, and futures contracts. What makes TP ICAP unique is its extensive expertise in the energy sector and its global presence in major financial hubs. The goal of TP ICAP is to be a trusted partner for clients by delivering specialized brokering services and valuable market insights.

Company Stage

IPO

Total Funding

N/A

Headquarters

London, United Kingdom

Founded

1971

Simplify Jobs

Simplify's Take

What believers are saying

  • Increased demand for real-time data analytics boosts TP ICAP's market data services.
  • The rise of DeFi platforms expands TP ICAP's client base for liquidity solutions.
  • Growing interest in green energy investments enhances TP ICAP's brokering services.

What critics are saying

  • Increased competition in dry bulk commodities may impact TP ICAP's market share.
  • Over-reliance on AWS could pose risks if service disruptions occur.
  • Expansion into MENA exposes TP ICAP to geopolitical and regulatory challenges.

What makes TP-ICAP unique

  • TP ICAP is the largest energy and commodities broker globally, established in 1971.
  • The company offers specialized brokering services in OTC swaps, forwards, and physical oil products.
  • TP ICAP's collaboration with AWS enhances its digital platform and AI-driven solutions.

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Benefits

Hybrid Work Options

Flexible Work Hours