Securities & Venues Compliance Advisory Senior Manager

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

Securities & Venues Compliance Advisory Senior ManagerWe use cookies to enable key site features and to give you the best online experience when visiting our website. By clicking “Accept Cookies” you agree to cookies being placed on your device to enhance site navigation and provide us with greater understanding about how visitors use our website. To find out more, please visit our Cookie Policy.# Open Positions## Securities & Venues Compliance Advisory Senior ManagerApply: New York: Full time: Posted Yesterday: R5988**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 AdvisoryThis 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.