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Regulatory Compliance Officer for Trading Venues
Il y a 3 mois
TP ICAP Group stands as a premier provider of market infrastructure, dedicated to facilitating access to global financial and commodities markets. Our mission is to enhance price discovery, liquidity, and data distribution through innovative and responsible solutions.
With a workforce of 5,300 professionals across over 60 offices in 27 countries, we are committed to our vision of being the most trusted and innovative specialist in liquidity and data solutions.
Role Overview
The Compliance Advisory Venues Officer will play a crucial role in cultivating a strong compliance culture within our European divisions. Reporting to the Compliance Manager, this position is pivotal in ensuring adherence to regulatory standards, thereby protecting the integrity and reputation of TP ICAP.
Key Responsibilities
- Deliver proactive compliance guidance to business units, ensuring alignment with regulatory mandates.
- Safeguard the organization and its personnel from potential regulatory penalties.
- Maintain the organization's standing as a reputable Interdealer Broker (IDB) through ethical practices.
- Collaborate with leadership to optimize operational effectiveness.
- Support European business divisions in compliance with EU regulations for Multilateral Trading Facilities (MTF) and Organised Trading Facilities (OTF).
- Conduct training and advisory sessions across various departments.
- Work alongside business units to ensure compliance with regulatory standards and risk mitigation.
Experience and Competencies
Essential:
- Comprehensive understanding of MiFID II, particularly in relation to venue oversight.
- Extensive background in Compliance and Regulatory Law across multiple sectors.
- Strong communication skills in both English and French.
- Thorough knowledge of Wholesale Financial Markets, including inter-dealer broking.
- Proven ability to analyze external advice and contextualize it within the business landscape.
- Successful track record in managing compliance activities and demonstrating their value to stakeholders.
- Experience in collaborating with senior stakeholders to implement strategic initiatives.
- Proficient in developing solutions for regulatory and legal requirements across functions.
- Independent with sound judgment and a commitment to delivering high-quality outcomes.
- Expertise in risk-based approaches and control design in Risk and Compliance.
- Resilience in navigating an evolving regulatory landscape.
- Broad compliance experience, including front office and awareness of back office operations.
- History of delivering automated operational solutions.
- Ability to influence staff at all levels to adopt new processes.
Company Statement
At TP ICAP, we believe that the best innovations arise from diverse teams working together in an inclusive environment. We are committed to fostering a culture where every individual feels valued and empowered to contribute. Our Employee Network, TP ICAP Accord, plays a vital role in promoting inclusivity and driving continuous cultural improvement.
