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Full-Time

Compliance Advisory Associate

Confirmed live in the last 24 hours

TP-ICAP

TP-ICAP

1,001-5,000 employees

Brokers energy and commodities transactions

Data & Analytics
Financial Services
Energy

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 operates in the financial markets by providing liquidity and data solutions, primarily focusing on energy and commodities, especially oil products. The company facilitates the buying and selling of financial instruments, helping clients like institutional investors and corporations with Over the Counter (OTC) swaps, forwards, and physical crude oil transactions. TP ICAP also engages in exchange-traded markets, dealing with futures contracts for WTI, Brent, and Gasoil. Unlike its competitors, TP ICAP stands out due to its extensive experience and a global presence in major financial hubs, supported by a team of over 180 professionals with deep industry knowledge. The company's goal is to be a trusted partner for clients in the energy and commodities sectors by providing expert brokering services and valuable market data.

Company Stage

IPO

Total Funding

N/A

Headquarters

London, United Kingdom

Founded

N/A

Growth & Insights
Headcount

6 month growth

8%

1 year growth

8%

2 year growth

8%
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.