Compliance Advisory
Il y a 7 mois
Job Description
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
The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to;- Ensure the group continues to meet all applicable regulatory requirements;- Protect the group and its staff from regulatory sanction; and- Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence.
The Compliance Officer will work as a member of the Compliance team, based in TP ICAP’s Paris offices and report directly to the Compliance Manager to foster a compliance culture within TP ICAP’s companies and venues, with particular responsibility for the Paris and continental European divisions of the business, including conduct of business, training, and advisory. The primary objective of the role will be to work with leadership across the functions to improve the effectiveness and efficiency of operations.
The Officer will also support the business divisions in Europe to ensure that the group’s EU- based Multilateral Trading Facilities (MTF) and Organised Trading Facilities (OTF) operate in accordance with all applicable regulatory requirements.
Role Responsibilities- Assist the Compliance Manager and Venue Compliance Manager with regard to strategic direction, culture and advisory activity;- Exercise a key role to ensure that the businesses receive a true ‘value added’ service from the Compliance function;- Deliver regulatory compliance advice to stakeholders within the business and compliance-related strategic support within the department, ideally with a primary focus on fixed income, currency, commodities and some equities knowledge;- Assist with the implementation of MiFID II and various regulatory change events;- Assist with oversight of venues (Exchange, MTF, OTF) and advise on MiFID II regulations, especially where those sections relate to operating a Venue;- Provide advice and guidance to TP ICAP’s Trading Venues in order to ensure they operate in accordance with all applicable regulations.- Assist in the identification of upstream regulatory risk, and working to respond to or mitigate any such identified risks;- Working with the functional leads to help operationalise any manually intensive or key controls, processes or procedures and identifying any potential cross functional efficiencies;- Designing new controls and optimising existing control frameworks as required (i.e. operational changes or regulatory requirements);- Supporting the embeddedness of control frameworks across the Compliance function and helping transition of project initiatives into BAU;- Supporting the Compliance team in understanding the business’ plans and strategies to ensure appropriate support is provided by the functions;- Working with all the functional leads and any required members of the function to ensure any remedial actions, however identified, are addressed;- Working with the functional leads and their teams to design and produce reporting and MI appropriate for both operational teams and governance fora;- Build / maintain effective working relationships with key internal stakeholders including Senior Management, Desk Heads, and support function Heads, internal and external auditors and other members of the control functions to ensure an understanding of the risks and necessary mitigating measures necessary to facilitate and protect the business;- Provide an active role as a member of the Compliance team, participating in relevant committees, groups and fora as required;- Assist in the delivery of the TPICAP Compliance training programme for the various business units and conduct ad hoc training as and when required;- Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out;- As required, oversight of Compliance links with EMEA offices, assisting with the implementation of compliance standards;- Project work as required from time to time;- Review and assess any New Business Initiatives;- Attend business and control committees as required;- Fulfil additional / ad hoc duties as required to meet the needs of the
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