Job details

Compliance Officer, Strategy and Projects

Job Description

Group Overview:

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 function’s mission statement is to proactively engage and advise the Business so it can achieve its strategic and commercial objectives within applicable regulatory requirements and protect the Firm’s reputation.

The Compliance function has five strategic objectives: (1) proactive engagement with the Business; (2) stay ahead of the regulatory environment; (3) leverage technology solutions; (4) review and enhance policies and controls; (5) build the global Compliance function.

The AMER Compliance Associate Officer will work as a member of the Compliance Strategy & Projects Team within the Compliance function. The Team works closely with each regional Compliance Team and has responsibility for strategic Compliance priorities. This position is based in TP ICAP’s New York offices and reports to the Global Compliance Manager.

Key Stakeholders:

Compliance; Legal; Risk; HR; IT; Finance; Operations and the Business

Role Responsibilities:

Support the Global Compliance Manager with the implementation of the Global Compliance strategy, plan and projects within AMER
Be the AMER Compliance FCO (Function Control Owner) for the ERMF (Enterprise Risk Management Framework) which involves being the key regional Compliance lead for risk management processes and activities, MI (management information) gathering and monitoring of any Compliance Risk Events and Issues/Actions
As the FCO, work with the AMER Compliance Team in the resolution of risk events and issues/actions relating to Compliance risks. This may include Internal Audit actions and mitigating high priority Compliance risks and providing Compliance input to ensure risks and issues are resolved within specified timescales and with the appropriate remedial action
Analyse Compliance MI and other Compliance reporting information for regional and global Committees and compile papers and reports ensuring consistency and clarity of message. Liaise with key stakeholders including Compliance, the Business and Risk to collate and analyse information
Support the second line review of the Businesses activities to manage Compliance risks, and ensure adherence to compliance controls. Oversee and guide the Business as required to manage effective compliance across various components of the US compliance programme, for example training completion, supervisory processes/checklists, implementation and embedding of policies and procedures and records and retention
Participate in key projects, for example for the implementation of new regulation or significant organisational change projects to provide input on Compliance risks and ensure an effective compliance control framework is maintained
Identify any resources, process and capability gaps with the AMER Compliance team and help the Global Compliance Manager and AMER Head of Compliance to formulate appropriate remedial approaches
Where required, support the Global Compliance Manager with any activities related to Global Compliance Strategy across AMER, EMEA and APAC (e.g., support QA of Controls Attestations and MI across the regions)
Fulfil additional/ad hoc duties as required to meet the needs of the business

This is a great role for someone that is strategic orientated, highly motivated, confident individual who is looking to develop their career in a compliance function.

Experience / Competencies:

The ability to analyse information and form judgements about compliance risks in the context of the regulatory and business environment;
The ability to influence staff at all levels in driving consensus and adopting new initiatives, processes or procedures and to deliver successful outcomes
Ability to work with stakeholders to generate ideas and implement agreed vision and strategies;
Excellent planning and execution skills, attention to detail and problem-solving skills
Clear and concise verbal, written and presented communications
Mange tasks with effective structure and organisation skills and ownership to deliver high quality results
Ability to pragmatically assess business problems to identify proportionate solutions

Understanding of Wholesale Financial Markets and applicable US regulations
Experience of a Compliance Function and Compliance risks and processes
Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance
Experience of an inter-dealer broking business is preferred.

Company Statement:

The TP ICAP Group is committed to promoting Equality and Diversity and encouraging a culture that actively values difference. It is recognised that employees from different backgrounds and experiences can bring valuable insights to the work environment and enhance the way we work. TP ICAP aims to create a positive, cohesive and inclusive culture, where diversity is valued, respected and built upon. The objective is to recruit and retain a diverse workforce that reflects the global markets in which we work.

TP ICAP is also committed to ensuring that the backgrounds, beliefs and cultures of all its employees are respected and to ensuring that the working environment is free from discrimination, harassment, bullying or any other conduct which causes an employee’s suffering. The Group also is committed to encouraging diversity amongst its current workforce and candidates.

$$105,000k-$120,000k

#LI-Hybrid

Location

USA - 200 Vesey Street - New York, NY