Compliance Advisory Officer - Rates

TP ICAP; London; On-site; GBP 50,000 - 90,000; Full time

Job summary

An established industry player is seeking a Compliance Advisory Officer to join their dynamic team in London. This role offers a unique opportunity to provide compliance guidance within the fast-paced environment of Rates, FX, and Money Markets. You will be instrumental in ensuring regulatory compliance while collaborating closely with front-office teams. Ideal candidates will possess a strong understanding of G10 Rates products and a proactive approach to problem-solving. Join a forward-thinking company committed to innovation and inclusivity, where your contributions will make a significant impact on the business and its clients.

Qualifications

• Experience in Compliance Advisory within financial services.
• Familiarity with G10 Rates products and regulatory frameworks.

Responsibilities

• Provide compliance advice to the EMEA Rates broking team.
• Communicate regulatory expectations effectively.

Skills

Compliance Advisory

Regulatory Knowledge

Communication Skills

Problem-Solving

Relationship Building

Education

Degree in Finance or Law

Certifications in Compliance

Job description

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Join to apply for the Compliance Advisory Officer - Rates role at TP ICAP

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.

Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 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

TP ICAP’s Compliance Advisory function works in partnership with the business to support high standards of regulatory compliance and ethical conduct. The Advisory team is aligned across three product areas:

• Credit and Equity
• Rates, FX and Money Markets
• Energy and Commodities
  
  

This role sits within the Rates, FX & Money Markets Advisory team and focuses on providing timely, practical compliance advice to the EMEA Rates broking business.

We’re looking for someone who is familiar with G10 Rates products and comfortable interpreting and applying regulatory requirements in a dynamic, front-office environment. The successful candidate will be confident engaging with a wide range of colleagues and comfortable working on the trading floor.

Key Responsibilities

• Serve as the primary contact on compliance matters for the EMEA Rates broking team.
• Provide clear, pragmatic advice on regulatory topics including conduct, market abuse, trade reporting, and regulatory developments.
• Build effective working relationships with front-office teams, as well as control and support functions.
• Lead or contribute to periodic desk reviews, regulatory deliverables, and thematic compliance reviews.
• Communicate compliance expectations and updates in an accessible and engaging way.
• Represent Compliance in internal forums, committees, and working groups.
• Collaborate with colleagues across the Advisory function to support broader initiatives and share knowledge.
  
  

Experience & Competencies
Essential

• Familiarity with wholesale financial markets and how trading environments operate.
• Previous experience in a Compliance Advisory role or similar within a financial services organisation.
• Ability to manage multiple priorities and meet deadlines in a busy and evolving environment.
• Clear communication skills, with the ability to explain regulatory concepts to a variety of audiences.
• Collaborative and approachable style, with the confidence to provide constructive challenge when needed.
• An interest in problem-solving and the ability to apply regulatory knowledge in a thoughtful and solutions-focused way.
  
  

Desired

• Knowledge of G10 Rates products (such as government bonds, swaps, or futures) and the relevant EMEA regulatory framework.
• Understanding of requirements from regulators such as the FCA, ESMA, CFTC, or NFA.
• Experience in a brokerage or financial intermediary setting.
  
  

Band & Level

• Professional / 5
  
  

Not The Perfect Fit?

Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.

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

UK - 135 Bishopsgate - London

Seniority level

• Seniority level

  Associate

Employment type

• Employment type

  Full-time

Job function

• Job function

  Legal

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