Securities & Venues Compliance Advisory Senior Manager

670 TP ICAP Americas Holdings Inc.; New York (NY); Hybrid; USD 156,000 - 190,000; Full time

Job summary

TP ICAP Americas Holdings Inc. seeks aCompliance Advisory professional to support Securities & Venues teams with regulatory guidance and risk-based, pragmatic solutions.

You will collaborate with front office leaders and regional teams to shape policy, conduct reviews and respond to regulatory developments, while driving training and awareness across the firm. This role emphasizes global coordination, advisory excellence, and timely execution within a hybrid New York environment, contributing to

Qualifications

• Essential significant compliance advisory experience within wholesale financial markets, including credit and equity products.
• Strong understanding of interdealer brokerage, venue regulation and market infrastructure.
• Experience advising on new products, business initiatives and regulatory change.

Responsibilities

• Be part of Securities & Venues Advisory team delivering high-standard regulatory guidance.
• Engage with Business Heads to advise on strategy from regulatory and conduct perspectives.
• Act as primary contact for senior front office stakeholders on compliance matters.
• Design and deliver global training programmes to strengthen regulatory awareness.
• Review change management initiatives, including new products and jurisdictions.

Skills

Compliance advisory

Regulatory guidance

Stakeholder management

Training design

Regulatory change

Job description

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

Location USA - 200 Vesey Street - New York, NY

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.

Working with us

Joining TP ICAP puts you at the heart of markets that matter. You’ll have the freedom to innovate and act on your initiative. We’ll train you and build your abilities in your specialist area, so that you can become an expert in your field. And all within a connected network that’s there to set you up for success.

More about us

TP ICAP Group is a collection of premium brands each with a distinct, client-focused offering. Underpinning and connecting these client-facing brands is the financial security, operational strength and know-how we have as a Group. Connections are at the heart of what we do. We combine our people’s know-how with the latest technology to improve price discovery, trade execution and liquidity flow. Connections create strength. Through them, we help our clients to manage risk, realise investment strategies and expand the scope for growth. And connections act as a catalyst. Sparking richer solutions for our clients to break new ground, modernising markets for future performance, and creating dynamic careers for our people. Our capacity to connect builds trust, supports communities and gives us the power to anticipate and respond to change, whatever direction the world takes. It’s what makes TP ICAP a mainstay in the global markets, now and in the future. TP ICAP. We connect.

Inclusivity Statement

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.