Global Securities & Venues Compliance Lead

TP ICAP Group; New York (NY); Hybrid; USD 156,000 - 190,000; Full time

Job summary

TP ICAP Group in New York is seeking a Securities & Venues Compliance Advisory Senior Manager to lead regulatory advisory across wholesale markets, equity derivatives, and venue requirements. You will partner with front office and regional teams to ensure compliant execution and strategic initiatives.

The role emphasizes designing training, guiding change initiatives, and evaluating new products while maintaining high standards of conduct.

Qualifications

• 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 market infrastructure.
• Significant knowledge of US SEC (and ATS) or US SFC regulatory requirements, plus broad US securities regulatory frameworks.
• Strong understanding of securities market structure, trading venue regulation, and regulatory developments affecting wholesale markets.
• 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.
• Proven ability to influence senior stakeholders across front office, Compliance, Legal, Risk and Operations.
• Excellent stakeholder management across regions and seniority levels.

Responsibilities

• Be part of Securities & Venues Advisory team delivering high standards of delivery and expert oversight to global businesses.
• Engage with Business Heads to provide regulatory advice and challenge on strategy from a conduct perspective.
• Act as primary point of contact for senior front office stakeholders, providing trusted regulatory guidance.
• Help to design and deliver global thematic training programmes to raise regulatory awareness.
• Review and guide change management initiatives, including new product approvals and new broking models.
• Work on global strategic initiatives, including potential acquisitions, and advise on due diligence.
• Represent Compliance at senior governance forums to influence decisions and risk management.
• Coordinate with regional teams to assess the global impact of upcoming regulatory developments.
• Provide advice on the compliance implications of new products, workflows and market structure developments.

Skills

Compliance advisory

Regulatory knowledge

Stakeholder management

Communication skills

Financial markets knowledge

Job description

TP ICAP Group in New York is seeking a Securities & Venues Compliance Advisory Senior Manager to lead regulatory advisory across wholesale markets, equity derivatives, and venue requirements. You will partner with front office and regional teams to ensure compliant execution and strategic initiatives.

The role emphasizes designing training, guiding change initiatives, and evaluating new products while maintaining high standards of conduct.