Core Compliance Associate

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

The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to;

 

·         Ensure the group continues to meet all applicable regulatory requirements

·         Protect the group and its staff from regulatory sanction

·         Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence

 

The role sits within the EMEA Core Compliance Team primarily focused on employee Compliance activities as per the Control Framework.

 

Role Responsibilities

-           Developing knowledge of the Senior Managers & Certification regime.

-           Assessment of the responses on broker attestations to determine follow up actions.

-           New joiner processing; training set up, sending of policy documents, competency assessments.

-           Providing access to professional qualifications and training through learning providers.

-           Processing of NFA registration documentation.

-           Review of PA Dealing requests and associated contract notes.

-           Initial training across FCA & NFA registrations and Exchange access.

-           EMEA Compliance training processes, including assigning training, chasing completion and record keeping.

-           Assisting with ServiceNow queries from the business in relation to Conflicts of Interest and PA Dealing approvals.

-           Collating evidence of  tasks that have been conducted as per Compliance Control Framework.

-           Completion of tasks as dictated by the Control Framework.

-           Compliance generic mailbox management. Redirecting queries to appropriate Compliance colleagues. All emails to be responded to within 48 hours of receipt.

-           Assisting with ad hoc work, investigations and project issues as required.

-           Remaining informed of changes to the regulatory environment.

-           Taking minutes and providing update documents for working groups and team meetings.

 

Experience / Competences

Essential

-           Skilled in Microsoft applications software (Word, Excel, PowerPoint, Outlook etc.).

-           Excellent communication and interpersonal skills.

-           Ability to work under pressure, responding to urgent queries accurately and effectively.

-           Flexibility to take on other team roles as the workload demands.

-           Sets own goals and targets which improve upon previous performance and constantly strive to exceed existing quality and service standards.

 

Desired

-           Previous experience gained working in a Financial Services institution within a Compliance Administration role.

-           Knowledge of the FCA Senior Managers & Certification Regime (SMCR).

-           Previous experience in processing NFA/Exchange registrations.

#LI-Hybrid #LI-ENT #NIJobs

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

UK - City Quays - Belfast