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

Hybrid work model indicated by #LI-Hybrid.

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 oftasks 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, 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 distinguishes TP ICAP from its competitors is its extensive expertise in the energy sector and its global presence in key 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

Growth & Insights
Headcount

6 month growth

0%

1 year growth

0%

2 year growth

0%
Simplify Jobs

Simplify's Take

What believers are saying

  • Strategic collaboration with AWS enhances digital platforms and AI capabilities.
  • Expansion into Dubai DIFC strengthens presence in the MENA region.
  • Recognition as Global Interdealer Broker of the Year boosts industry credibility.

What critics are saying

  • Increased competition from electronic trading platforms threatens traditional brokering services.
  • Regulatory scrutiny on energy trading could impact operations and profitability.
  • Volatility in oil prices may affect trading volumes and revenue.

What makes TP-ICAP unique

  • TP ICAP is the largest energy and commodities broker globally.
  • The company offers specialized brokering services in OTC swaps and futures.
  • TP ICAP has a strong global presence in key financial hubs.

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