Compliance Advisory Venues Officer
il y a 3 semaines
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
The primary mission of the Compliance Venues Officer role will be to foster a robust compliance culture within our Paris and continental European divisions. Reporting directly to the Compliance Manager, you will be based in our Paris office and play a pivotal role in ensuring that TP ICAP and its staff meet all applicable regulatory requirements, thus safeguarding the group's reputation and integrity.
As a Compliance Officer, you will:
- Provide clear, proactive advice and support to the business to ensure compliance with regulatory requirements.
- Protect the group and its employees from regulatory sanctions.
- Uphold the group's reputation as an Interdealer Broker (IDB) that operates with honesty, integrity, respect, and excellence.
- Collaborate with leadership across functions to enhance the effectiveness and efficiency of operations.
- Support business divisions in Europe to ensure that TP ICAP's EU-based Multilateral Trading Facilities (MTF) and Organised Trading Facilities (OTF) comply with all regulatory requirements.
- Oversee conduct of business, deliver training, and provide advisory services to various departments.
- Work closely with business units to ensure adherence to regulatory standards and mitigate risks.
Role Responsibilities
- Assist Compliance Manager and Venue Compliance Manager with strategic direction, culture, and advisory activity.
- Ensure businesses receive value-added services from the Compliance function.
- Deliver regulatory compliance advice, focusing on fixed income, currency, commodities, and equities.
- Assist with MiFID II implementation and other regulatory changes.
- Oversee venues (Exchange, MTF, OTF) and advise on MiFID II regulations related to venue operations.
- Provide guidance to TP ICAP's Trading Venues to ensure regulatory compliance.
- Identify and mitigate upstream regulatory risks.
- Help operationalise key controls, processes, and procedures, identifying cross-functional efficiencies.
- Design and optimise control frameworks, supporting transition from projects to BAU.
- Support Compliance team in understanding business plans and strategies.
- Ensure remedial actions are addressed, working with functional leads.
- Build effective relationships with key internal stakeholders to understand risks and necessary measures.
Essential
- In-depth knowledge of MiFID II, particularly regarding the oversight of venues (Exchange, MTF, OTF).
- Extensive experience in Compliance and Regulatory Law across various fields.
- Effective communicator in both English and French, with strong written and verbal skills.
- Thorough understanding of Wholesale Financial Markets, including inter-dealer broking.
- Proven ability to analyse external advice and contextualise it within the current business environment, ensuring clear ownership and tracking of outcomes.
- Demonstrated success in managing critical compliance activities by illustrating their value to stakeholders outside the Compliance Department.
- Skilled in collaborating with senior stakeholders to implement strategic visions and plans.
- Proficient in designing and delivering solutions for regulatory, legal, statutory, and financial requirements across functions.
- Capable of assessing business problems pragmatically to identify proportionate solution options.
- Independent, with strong judgment and ownership to deliver high-quality results and outcomes.
- Expertise in achieving best practice outcomes aligned with key business or program objectives.
- Knowledgeable in risk-based approaches and assessments, as well as control design and implementation in Risk and Compliance.
- Proven resilience to manage with an ever-changing landscape.
- Broad based compliance experience, covering front office and awareness of back office, settlement and clearing systems.
- Track record in delivering automated operational solutions;
- Ability to influence staff across all levels in adopting new initiatives, processes or procedures;
Professional
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
France - Rue Washington - Paris
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