Securities and Venues Advisory- Senior Manager

ICAP; Hong Kong; Vor Ort; HKD 900.000 - 1.300.000; Vollzeit

Zusammenfassung

TP ICAP in Hong Kong seeks a Senior Compliance Advisor to provide specialist coverage across Securities & Venues, advising on regulatory and conduct matters for global businesses. You will work with heads of regions, support investigations, and help shape policy implementation and training programs.

The role requires deep knowledge of wholesale financial markets, interdealer brokerage models, and regulatory frameworks in US/HK and cross-border contexts.

Qualifikationen

• Extensive experience providing regulatory guidance in wholesale markets.
• Knowledge of securities, equity derivatives, and venues regulatory frameworks.
• Ability to influence senior stakeholders and drive regulatory outcomes.

Aufgaben

• Provide specialist regulatory coverage across Securities & Venues on a firm-wide basis.
• Advise business heads on regulatory and conduct implications of strategy.
• Be primary contact for senior front office stakeholders for regulatory advice.
• Contribute to global thematic training to enhance regulatory awareness.
• Review change initiatives for compliance implications and new product approvals.
• Support due diligence and implementation planning for strategic initiatives.
• Represent Compliance in governance forums to influence decisions.

Kenntnisse

Compliance advisory

Wholesale financial markets

Securities & Venues

Interdealer brokerage

Jobbeschreibung

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:

Compliance Advisory plays a critical role in supporting and constructively challenging the business to meet the highest standards of regulatory compliance and conduct. The function is organised across regional advisory teams, complemented by three Global Heads of Product Advisory responsible for:

• Securities &, Venues;
• Derivatives Advisory ( Rates, FX, Money Markets and Government Bonds)
• ETD & Commodities Advisory

This role is to support the Head of Securities & Venues Advisory, with responsibility for providing specialist advisory coverage across these areas on a firm-wide basis. The team provides subject matter expertise across securities markets, including equity derivatives and venues supporting all relevant divisions (currently Global Broking and Liquidnet ).

The team works in close partnership with regional Compliance Advisory teams, providing specialist input into desk reviews, regulatory training programmes, and the management of complex investigations, as well as supporting the consistent application of global policies and standards.

Role Responsibilities:

• Be part of Securities & Venues Advisory team providing high standards of delivery, and providing expert oversight and support to global businesses.
• Engage closely with Business Heads to provide advice and challenge on business strategy from a regulatory and conduct perspective.
• Act as a primary point of contact for senior front office stakeholders, providing trusted, outcome based regulatory advice.
• Help to design and deliver global thematic training programmes to enhance regulatory awareness and promote a strong compliance culture.
• Review and provide guidance on change management initiatives, including new product approvals, new broking models, and expansion into new jurisdictions.
• Work on global strategic initiatives, including potential acquisitions, and provide Compliance input into due diligence and implementation planning.
• Represent Compliance at senior business and governance forums, influencing decision-making and ensuring appropriate risk management.
• Partner with regional Compliance and Regulatory teams to assess and coordinate the global impact of upcoming regulatory developments.
• Provide advise on the compliance implications of new products, solutions, execution workflows, and market structure developments to ensure alignment with applicable regulatory and venue requirements.

Experience / Competences:

• Significant compliance advisory experience within wholesale financial markets, with expertise across credit and equity products, including listed equity derivatives.
• Strong understanding of interdealer brokerage and agency execution models, electronic trading platforms, and associated market infrastructure.
• Significant knowledge of either US SEC regulatory requirements, including Alternative Trading System (ATS) regulations, or Hong Kong SFC regulatory requirements, together with a sound working knowledge of the other jurisdiction and a broad understanding of UK and EU securities regulatory frameworks.
• Strong understanding of securities market structure, trading venue regulation, execution models, and regulatory developments impacting wholesale financial markets.
• Demonstrated experience providing compliance advice on new products, business initiatives, trading workflows, and regulatory change initiatives.
• Ability to assess complex regulatory issues and deliver pragmatic, risk-based solutions that support commercial objectives while maintaining regulatory compliance.
• Proven ability to build credibility and influence senior business stakeholders across front office, Compliance, Legal, Risk, and Operations functions.
• Excellent stakeholder management skills, with the ability to adapt communication and engagement style effectively across seniority levels, functions, and regions.
• Demonstrated ability to manage multiple priorities and deliver high-quality outcomes against tight deadlines in a fast-paced environment.
• Strong written and verbal communication skills, with the ability to communicate complex regulatory requirements clearly and concisely.
• Collaborative team player with experience working across global and regional teams to deliver consistent regulatory outcomes.

Job Band & Level

• Senior Manager / 7

#LI-Hybrid #LI-MID

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

Hong Kong - 21st Floor - One Hennessy - Wan Chai