Full-Time

Compliance Advisory Associate

Posted on 9/25/2024

TP-ICAP

TP-ICAP

1,001-5,000 employees

Brokers energy and commodities transactions

Data & Analytics
Energy
Financial Services

Mid

London, UK

Hybrid position.

Category
Risk & Compliance
Legal & Compliance
Required Skills
Communications
Requirements
  • 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.
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

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, acting as a broker for Over the Counter (OTC) swaps, forwards, and physical crude oil and refined products, as well as futures contracts for WTI, Brent, and Gasoil. Unlike many competitors, TP ICAP has a strong global presence in key financial hubs and a team of over 180 professionals with extensive experience in the oil industry, allowing them to manage significant trading volumes. Their goal is to be a trusted partner for institutional investors, corporations, and financial entities by providing expert brokering services and valuable market data to support informed trading decisions.

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.
  • Geopolitical risks in the MENA region may affect market stability.

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 provides valuable market data solutions to institutional clients.

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