Compliance Officer - EMEA Strategy & Projects

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 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 EMEA Compliance Officer will work as a member of the Compliance Strategy & Project Management 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 London office and reports to the Global Compliance Manager.

Role Responsibilities:

• Support the Global Compliance Manager with the implementation of the Global Compliance strategy, plan and projects within EMEA as prioritised by the Global Head of Compliance.

• Be the EMEA 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 Compliance Risk Events and Issues/Actions.

• As the FCO, work with the EMEA 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 EMEA compliance programme, for example training completion, supervisory processes/checklists and implementation and embedding of policies and procedures .

• Participate in key projects, for example for the implementation of new regulation or significant organisational change projects to understand Compliance risks and ensure an effective compliance control framework is maintained.

• Identify any resources, process and capability gaps with the EMEA Compliance team and help the Global Compliance Manager and EMEA Head of Compliance to formulate appropriate remedial approaches.

• Where required, support the Global Compliance Manager with any activities related to the Global Compliance Strategy across EMEA, America and APAC (e.g., developing efficient Group processes).

• Fulfil additional/ad hoc duties as required to meet the needs of the business.

Experience / Competences:

• Understanding of Wholesale Financial Markets and applicable UK and European regulatory requirements is desired.

• Experience of a Compliance Function and Compliance risks and processes is required.

• 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.

• The ability to analyse information and form judgements about compliance risks in the context of the regulatory and business environment.

• A track record of delivering outcomes that are critical to the success of a compliance activity, through demonstrating the value of that compliance activity to stakeholders outside the Compliance function.

• Ability to design and deliver solutions for managing rule driven requirements across functions (whether regulatory, legal, statutory, technology, financial etc.).

• Excellent planning and execution skills, attention to detail and problem-solving skills.

• Clear and concise verbal, written and presented communication skills.

• Manage tasks with effective structure and organisation skills and ownership to deliver high quality results.

• Ability to work with senior stakeholders to generate ideas and implement agreed vision and strategies.

• Ability to influence staff at all levels in adopting new initiatives, processes or procedures.

• Ability to pragmatically assess business problems to identify proportionate solution options.

• Ability to drive consensus solutions among various stakeholders (sometimes with opposing views) to deliver positive outcomes.

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.

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Location

UK - 135 Bishopsgate - London

Job Type: Full-time