Senior Manager, Securities & Venues Compliance Advisory

390 TP ICAP Management Services (Hong Kong) Limited; Hong Kong; On-site; HKD 1,000,000 - 1,800,000; Full time

Job summary

TP ICAP Group in Hong Kong seeks a Senior Manager to lead Securities & Venues Advisory for global businesses. You will provide regulatory expertise across US SEC, HK SFC regimes and support front office with risk-based guidance.

You will design global training, oversee change initiatives, and collaborate with regional teams to align policies with evolving market rules while upholding the highest standards of conduct.

Qualifications

• Significant compliance advisory experience in wholesale financial markets.
• Expertise across credit and equity products, including equity derivatives.
• Strong understanding of interdealer brokerage and venue regulation.
• Ability to influence senior stakeholders across front office, Compliance, Legal and Risk.

Responsibilities

• Provide expert regulatory advice to global front office stakeholders.
• Design and deliver global regulatory training programmes.
• Review change management initiatives, including new product approvals and expansions.
• Support due diligence and planning for potential acquisitions.
• Represent Compliance at governance forums and coordinate with regional teams.

Skills

Compliance advisory

Financial markets

Stakeholder management

Regulatory knowledge

Job description

TP ICAP Group in Hong Kong seeks a Senior Manager to lead Securities & Venues Advisory for global businesses. You will provide regulatory expertise across US SEC, HK SFC regimes and support front office with risk-based guidance.

You will design global training, oversee change initiatives, and collaborate with regional teams to align policies with evolving market rules while upholding the highest standards of conduct.