Senior Manager, Securities & Venues Compliance Advisory (Hybrid)

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

Job summary

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.

Responsibilities

• 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.

Skills

Compliance advisory

US securities regulation

Interdealer brokerage

Market infrastructure

Stakeholder management

Regulatory change

Job description

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