Full-Time

Core Compliance Associate

Posted on 11/28/2024

TP-ICAP

TP-ICAP

1,001-5,000 employees

Brokers energy and commodities transactions

Data & Analytics
Energy
Financial Services

Entry, Junior

Belfast, UK

This is a hybrid position.

Category
Risk & Compliance
Legal & Compliance
Requirements
  • Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.).
  • Excellent communication and interpersonal skills.
  • Ability to work under pressure, responding to urgent queries accurately and effectively.
  • Flexibility to take on other team roles as the workload demands.
  • Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards.
  • Previous experience gained working in a Financial Services institution within a Compliance Administration role.
  • Knowledge of the FCA Senior Managers & Certification Regime (SMCR).
  • Previous experience in processing NFA/Exchange registrations.
Responsibilities
  • Developing knowledge of the Senior Managers & Certification regime.
  • Assessment of the responses on broker attestations to determine follow up actions.
  • New joiner processing; training set up, sending of policy documents, competency assessments.
  • Providing access to professional qualifications and training through learning providers.
  • Processing of NFA registration documentation.
  • Review of PA Dealing requests and associated contract notes.
  • Initial training across FCA & NFA registrations and Exchange access.
  • EMEA Compliance training processes, including assigning training, chasing completion and record keeping.
  • Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals.
  • Collating evidence of tasks that have been conducted as per Compliance Control Framework.
  • Completion of tasks as dictated by the Control Framework.
  • Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues. All emails to be responded to within 48 hours of receipt.
  • Assisting with ad hoc work, investigations and project issues as required.
  • Remaining informed of changes to the regulatory environment.
  • Taking minutes and providing update documents for working groups and team meetings.

TP ICAP provides liquidity and data solutions in the financial markets, focusing on energy and commodities, particularly oil products. The company facilitates the buying and selling of financial instruments, including Over the Counter (OTC) swaps and futures contracts, earning revenue through commissions and market data services. With a global presence in key financial hubs, TP ICAP stands out as the largest energy and commodities broker, supported by a team of experienced professionals. Their goal is to be a trusted partner for clients in the energy sector by delivering expert brokering services and valuable market insights.

Company Stage

IPO

Total Funding

N/A

Headquarters

London, United Kingdom

Founded

N/A

Growth & Insights
Headcount

6 month growth

2%

1 year growth

2%

2 year growth

2%
Simplify Jobs

Simplify's Take

What believers are saying

  • The potential IPO of TP ICAP's data business could unlock significant value and provide new growth opportunities.
  • Strategic acquisitions, such as Aotearoa Energy, enhance TP ICAP's market presence and service offerings in the APAC region.
  • The integration with FalconX's crypto exchange positions TP ICAP at the forefront of bridging traditional and digital financial markets.

What critics are saying

  • The volatility in the oil market, as seen with OPEC+ production uncertainties, can significantly impact TP ICAP's core business.
  • The potential IPO of the data business could lead to a loss of a valuable revenue stream if not managed properly.

What makes TP-ICAP unique

  • TP ICAP's specialization in energy and commodities markets, particularly oil products, sets it apart from other financial brokers who may have a broader focus.
  • Their extensive experience and global presence in key financial hubs provide a competitive edge in facilitating large trading volumes.
  • The company's integration of traditional financial markets with digital assets through partnerships like FalconX highlights its innovative approach.

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