Compliance Advisory Officer

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.

Role Responsibilities

• Support the Compliance Manager and wider Compliance team in delivering the Compliance function's objectives and advisory activities.
• Provide practical, risk-based regulatory advice to business stakeholders on Conduct, Markets and Wholesale Financial Services regulations.
• Assist in responding to day-to-day regulatory queries from business and support functions.
• Support the interpretation and implementation of MiFID II/MiFIR and other regulatory developments, assessing potential business impacts and contributing to implementation activities.
• Assist in maintaining oversight of TP ICAP's European operations to support compliance with applicable regulatory requirements.
• Contribute to the identification of emerging regulatory risks and support the development of appropriate mitigation actions.
• Partner with Risk, Legal and other control functions to support a coordinated and effective control environment.
• Assist in the development, enhancement and maintenance of compliance policies, procedures and controls.
• Support business and functional teams in understanding regulatory obligations and embedding appropriate controls into day-to-day activities.
• Contribute compliance input to regulatory projects, business initiatives, operational changes and new business proposals.
• Support the tracking and remediation of compliance, audit and regulatory actions.
• Produce management information, governance reporting and regulatory reporting as required.
• Build and maintain effective working relationships with business stakeholders and key internal control functions.
• Support the Compliance Manager in preparing for and participating in governance forums, committees and working groups.
• Deliver compliance training and awareness sessions across the business.
• Review monitoring outcomes and support the timely resolution of identified issues.
• Promote consistent compliance standards and practices across European locations.

Experience & Competencies

• Essential Experience within Compliance, Regulatory Advisory, Financial Services Regulatory Law or a related control function.
• Good understanding of MiFID II/MiFIR and the broader European regulatory framework applicable to wholesale financial markets.
• Ability to interpret regulatory requirements and apply them to practical business scenarios.
• Experience supporting regulatory change initiatives, compliance projects or control enhancements.
• Understanding of regulatory risk management principles and control frameworks.
• Strong stakeholder management skills with the ability to build effective working relationships across different functions.
• Demonstrated analytical and problem-solving skills with the ability to assess regulatory issues pragmatically.
• Excellent verbal and written communication skills.
• Ability to manage competing priorities and work independently with appropriate supervision.
• Understanding of compliance monitoring activities, policy development and control design.
• Knowledge of wholesale financial markets and market conduct requirements.
• Desired Experience within an interdealer broker, investment firm, trading venue or wholesale financial markets environment.
• Exposure to regulatory frameworks applicable to MTFs and OTFs.
• Experience supporting business change, process improvement or automation initiatives.
• Familiarity with fixed income, foreign exchange, commodities and/or equities markets.
• Experience working across multiple European jurisdictions.

Role Band & Level

Professional / 5 #LI-Hybrid #LI-ASO

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

Spain - Paseo de la Castellana - Madrid Connecting clients, communities and colleagues for sustainable growth TP ICAP connects people, platforms, ideas, and insight across the world’s financial, energy and commodities markets. As a global leader in market infrastructure and data-led solutions, we enhance market access, increase efficiencies, and unlock possibilities.

Work with us

Joining TP ICAP puts you at the heart of markets that matter. You’ll have the freedom to innovate and act on your initiative. We’ll train you and build your abilities in your specialist area, so that you can become an expert in your field. And all within a connected network that’s there to set you up for success.

More about us

TP ICAP Group is a collection of premium brands each with a distinct, client-focused offering. Underpinning and connecting these client-facing brands is the financial security, operational strength and know-how we have as a Group. Connections are at the heart of what we do. We combine our people’s know-how with the latest technology to improve price discovery, trade execution and liquidity flow. Connections create strength. Through them, we help our clients to manage risk, realise investment strategies and expand the scope for growth. And connections act as a catalyst. Sparking richer solutions for our clients to break new ground, modernising markets for future performance, and creating dynamic careers for our people. Our capacity to connect builds trust, supports communities and gives us the power to anticipate and respond to change, whatever direction the world takes. It’s what makes TP ICAP a mainstay in the global markets, now and in the future. TP ICAP. We connect.