Find a job 
Featured Companies 
Featured Universities 
For Companies At a Glance
- Tasks: Provide compliance advice to the EMEA Rates broking team and engage with colleagues on regulatory matters.
- Company: TP ICAP is a leading global market infrastructure provider, connecting clients to financial markets since 1866.
- Benefits: Enjoy a hybrid work model, inclusive culture, and opportunities for personal growth and development.
- Why this job: Join a dynamic team in a fast-paced environment, making a real impact in financial compliance.
- Qualifications: Familiarity with financial markets and previous compliance experience are essential; knowledge of G10 Rates is a plus.
- Other info: We value diverse backgrounds and encourage all enthusiastic candidates to apply, regardless of experience.
The predicted salary is between 43200 - 72000 £ per year.
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. Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 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
TP ICAP’s Compliance Advisory function works in partnership with the business to support high standards of regulatory compliance and ethical conduct. The Advisory team is aligned across three product areas: Credit and Equity, Rates, FX and Money Markets, Energy and Commodities. This role sits within the Rates, FX & Money Markets Advisory team and focuses on providing timely, practical compliance advice to the EMEA Rates broking business. We’re looking for someone who is familiar with G10 Rates products and comfortable interpreting and applying regulatory requirements in a dynamic, front-office environment. The successful candidate will be confident engaging with a wide range of colleagues and comfortable working on the trading floor.
Key Responsibilities
- Serve as the primary contact on compliance matters for the EMEA Rates broking team.
- Provide clear, pragmatic advice on regulatory topics including conduct, market abuse, trade reporting, and regulatory developments.
- Build effective working relationships with front-office teams, as well as control and support functions.
- Lead or contribute to periodic desk reviews, regulatory deliverables, and thematic compliance reviews.
- Communicate compliance expectations and updates in an accessible and engaging way.
- Represent Compliance in internal forums, committees, and working groups.
- Collaborate with colleagues across the Advisory function to support broader initiatives and share knowledge.
Experience & Competencies
Essential
- Familiarity with wholesale financial markets and how trading environments operate.
- Previous experience in a Compliance Advisory role or similar within a financial services organisation.
- Ability to manage multiple priorities and meet deadlines in a busy and evolving environment.
- Clear communication skills, with the ability to explain regulatory concepts to a variety of audiences.
- Collaborative and approachable style, with the confidence to provide constructive challenge when needed.
- An interest in problem-solving and the ability to apply regulatory knowledge in a thoughtful and solutions-focused way.
Desired
- Knowledge of G10 Rates products (such as government bonds, swaps, or futures) and the relevant EMEA regulatory framework.
- Understanding of requirements from regulators such as the FCA, ESMA, CFTC, or NFA.
- Experience in a brokerage or financial intermediary setting.
Band & Level: Professional / 5
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 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 - 135 Bishopsgate - London
Compliance Advisory Officer - Rates employer: TP ICAP Group
Contact Detail:
TP ICAP Group Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Advisory Officer - Rates
✨Tip Number 1
Familiarise yourself with G10 Rates products and the EMEA regulatory framework. Understanding these areas will not only boost your confidence but also demonstrate your commitment to the role during discussions with potential colleagues.
✨Tip Number 2
Network with professionals in the compliance and financial services sectors. Attend industry events or webinars to connect with people who work in similar roles, as they can provide insights and potentially refer you to opportunities at TP ICAP.
✨Tip Number 3
Prepare to discuss real-world scenarios where you've applied regulatory knowledge in a practical setting. Being able to share specific examples of how you've navigated compliance challenges will set you apart from other candidates.
✨Tip Number 4
Showcase your collaborative skills by engaging with others in the industry on platforms like LinkedIn. Sharing relevant articles or insights about compliance can help you build a professional presence and attract attention from hiring managers at TP ICAP.
We think you need these skills to ace Compliance Advisory Officer - Rates
Some tips for your application 🫡
Understand the Role: Before applying, make sure you fully understand the responsibilities and requirements of the Compliance Advisory Officer - Rates position. Familiarise yourself with G10 Rates products and the regulatory landscape to tailor your application effectively.
Tailor Your CV: Highlight relevant experience in compliance advisory roles or similar positions within financial services. Emphasise your familiarity with wholesale financial markets and any specific knowledge of EMEA regulations that aligns with the job description.
Craft a Compelling Cover Letter: Use your cover letter to demonstrate your understanding of the role and how your skills align with TP ICAP's needs. Mention your ability to communicate complex regulatory concepts clearly and your collaborative approach to problem-solving.
Showcase Your Soft Skills: In your application, highlight your clear communication skills and your ability to build effective relationships with colleagues. Provide examples of how you've successfully managed multiple priorities in a fast-paced environment.
How to prepare for a job interview at TP ICAP Group
✨Know Your Regulatory Stuff
Make sure you're well-versed in the regulatory requirements relevant to G10 Rates products. Be prepared to discuss how you would apply this knowledge in a practical setting, especially in a fast-paced trading environment.
✨Showcase Your Communication Skills
Since clear communication is key in this role, practice explaining complex regulatory concepts in simple terms. Think about examples where you've successfully communicated compliance expectations to diverse audiences.
✨Demonstrate Your Collaborative Spirit
This role requires building effective relationships with various teams. Be ready to share examples of how you've worked collaboratively in the past and how you approach constructive challenges in a team setting.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving abilities in real-world compliance scenarios. Think through potential challenges you might face in the role and how you would address them, particularly in relation to market abuse or trade reporting.
