Compliance Advisory Officer - Rates
TP ICAP
London, UK
Published 5 days ago
Compliance Management Systems / Technology
Full time
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.
Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 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
TP ICAP's Compliance Advisory function works in partnership with the business to support high standards of regulatory compliance and ethical conduct. The Advisory team is aligned across three product areas:
We're looking for someone who is familiar with G10 Rates products and comfortable interpreting and applying regulatory requirements in a dynamic, front-office environment. The successful candidate will be confident engaging with a wide range of colleagues and comfortable working on the trading floor.
Key Responsibilities
Essential
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
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.
Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 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
TP ICAP's Compliance Advisory function works in partnership with the business to support high standards of regulatory compliance and ethical conduct. The Advisory team is aligned across three product areas:
- Credit and Equity
- Rates, FX and Money Markets
- Energy and Commodities
We're looking for someone who is familiar with G10 Rates products and comfortable interpreting and applying regulatory requirements in a dynamic, front-office environment. The successful candidate will be confident engaging with a wide range of colleagues and comfortable working on the trading floor.
Key Responsibilities
- Serve as the primary contact on compliance matters for the EMEA Rates broking team.
- Provide clear, pragmatic advice on regulatory topics including conduct, market abuse, trade reporting, and regulatory developments.
- Build effective working relationships with front-office teams, as well as control and support functions.
- Lead or contribute to periodic desk reviews, regulatory deliverables, and thematic compliance reviews.
- Communicate compliance expectations and updates in an accessible and engaging way.
- Represent Compliance in internal forums, committees, and working groups.
- Collaborate with colleagues across the Advisory function to support broader initiatives and share knowledge.
Essential
- Familiarity with wholesale financial markets and how trading environments operate.
- Previous experience in a Compliance Advisory role or similar within a financial services organisation.
- Ability to manage multiple priorities and meet deadlines in a busy and evolving environment.
- Clear communication skills, with the ability to explain regulatory concepts to a variety of audiences.
- Collaborative and approachable style, with the confidence to provide constructive challenge when needed.
- An interest in problem-solving and the ability to apply regulatory knowledge in a thoughtful and solutions-focused way.
- Knowledge of G10 Rates products (such as government bonds, swaps, or futures) and the relevant EMEA regulatory framework.
- Understanding of requirements from regulators such as the FCA, ESMA, CFTC, or NFA.
- Experience in a brokerage or financial intermediary setting.
- Professional / 5
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