Global Securities & Venues Compliance Lead

TP ICAP Americas Holdings; New York (NY); On-site; USD 140,000 - 230,000; Full time

Job summary

TP ICAP Americas Holdings in New York is seeking an experienced Compliance Advisory professional to support the Securities & Venues and related advisory teams. You will provide specialist regulatory guidance across wholesale financial markets, including equity derivatives and venue-related activities, collaborating with global and regional stakeholders.

The role focuses on delivering pragmatic, risk-based compliance solutions, shaping global policy alignment, and contributing to training and

Qualifications

• Significant compliance advisory experience in wholesale financial markets.
• Knowledge of interdealer brokerage, agency execution, and market infrastructure.
• Understanding of US SEC/ATS or US SFC regulatory requirements.
• Ability to assess complex regulatory issues and propose risk-based solutions.
• Proven ability to influence senior stakeholders across regions.

Responsibilities

• Provide expert regulatory advice to senior front office stakeholders.
• Design and deliver global compliance training programmes.
• Review change initiatives including new product approvals and jurisdiction expansions.
• Collaborate with regional teams to assess global regulatory impact.
• Support due diligence and integration planning for potential acquisitions.

Skills

Compliance advisory

Regulatory oversight

Stakeholder management

Regulatory frameworks

Interdealer brokerage

Job description

TP ICAP Americas Holdings in New York is seeking an experienced Compliance Advisory professional to support the Securities & Venues and related advisory teams. You will provide specialist regulatory guidance across wholesale financial markets, including equity derivatives and venue-related activities, collaborating with global and regional stakeholders.

The role focuses on delivering pragmatic, risk-based compliance solutions, shaping global policy alignment, and contributing to training and