Compliance Advisory Associate

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 team, this role supports the Compliance Advisory Managers and Officers overseeing the Global Broking Credit, Equities business, and the Liquidnet Agency Division. The Compliance Associate will collaborate closely with business divisions to strengthen TP ICAP’s compliance culture across EMEA offices, provide guidance on business conduct requirements, update policies and procedures, and offer regulatory and strategic compliance support.

The Compliance Advisory Associate will assist the Compliance Advisory Managers and Officers in offering clear advice and support, ensuring that the Global Broking business divisions comply with all relevant regulatory requirements.

The Compliance Advisory Associate will also contribute to fostering a compliance culture within the TP ICAP Group, focusing particularly on the London Global Broking business divisions. This includes performing regulatory analysis, providing compliance advice and training, and establishing business conduct controls.

Role Responsibilities:

• Develop and maintain relationships with Desk Head and Brokers across the TP ICAP Group specifically within the Global Broking business

• Provide timely and accurate regulatory advice to the business

• Support the Compliance Team in performing Regulatory Analysis; identifying the impact of upcoming Regulation on the relevant business area.

• Support the Compliance Team in drafting policies and internal procedure documentation e.g. Conflicts of Interest Policy and Compliance Manual

• Support the Compliance Team to Identify/Write/Implement compliance controls

• Operate/Execute specific controls owned by the Compliance Function

• Support the Compliance Team to perform investigations into the activities within the Global Broking business to ascertain compliance with the relevant regulations

• Write compliance training material and support the Compliance Team in the delivery of the training

• Support the Compliance Team with the internal Change Management Governance meetings and on projects delivering regulatory change

• Support the Compliance Team to with representation on internal Governance Forums & Working Groups

• Identification of risks and support the Compliance Team with risk mitigation solutions

• Support the Compliance Team to review output from the Compliance Monitoring Programme and implement remedial actions

• Support the Compliance Team to review legal entity permissions and supporting applications for new/amended permissions as required

Experience / Competences:

Essential

• Experience of 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.

• Able to work well with diverse groups and personalities.

Desired

• Experience 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.

Band & Level:

• Professional / 4

#LI-ASO #LI-Hybrid

Not The Perfect Fit?

Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn’t align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don’t hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.

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. 

Location

UK - 135 Bishopsgate - London