Securities & Venues Compliance Advisory Senior Manager

ICAP; New York (NY); Hybride; USD 156 000 - 190 000; Plein temps

Résumé du poste

TP ICAP in New York is seeking an experienced Compliance Advisory professional to support the Head of Securities & Venues Advisory across regions on securities markets and venues. You will partner with regional teams to provide expert input into desk reviews, training programs, and complex investigations, ensuring alignment with global policies.

The role requires advising senior stakeholders, shaping regulatory strategy, and guiding changes for new products and markets while maintaining strong

Qualifications

• Extensive compliance advisory experience in wholesale financial markets including credit and equity products.
• Strong knowledge of interdealer brokerage, agency execution models, and electronic trading platforms.
• Knowledge of US SEC/ATS or US SFC regulations and broad US securities regulatory framework.
• Understanding of securities market structure, venue regulation and regulatory developments.
• Experience advising on new products, business initiatives, trading workflows and regulatory change.
• Ability to deliver pragmatic, risk-based solutions aligned with business objectives.
• Proven ability to influence senior stakeholders across front office, Compliance, Legal, Risk and Operations.
• Excellent stakeholder management across regions and functions.

Responsabilités

• Be part of Securities & Venues Advisory with high delivery standards and expert oversight.
• Engage with Business Heads to advise on regulatory and conduct risk.
• Act as primary contact for senior front office stakeholders for regulatory advice.
• Design and deliver global training programs to raise regulatory awareness.
• Review change initiatives, product approvals, new broking models and new jurisdictions.
• Contribute to global strategic initiatives including due diligence for acquisitions.
• Represent Compliance at senior governance forums and influence decision-making.
• Collaborate with regional teams to assess global regulatory impact of developments.
• Provide advice on compliance implications of new products, solutions and workflows.

Connaissances

Compliance advisory

US securities regulation

Interdealer brokerage

Market infrastructure

Stakeholder management

Regulatory change

Description du poste

Group Overview:

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 organized 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 advice 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:

Essential

• 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 US SFC regulatory requirements, together with a sound working knowledge of the other jurisdiction and a broad understanding of US 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.

Desired

• 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

Manager / 7

Up to $173,000 _ Commensurate with experience _

#LI-Hybrid

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

USA - 200 Vesey Street - New York, NY