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- 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: Experience in compliance advisory roles, familiarity with G10 Rates products, and strong communication skills required.
- Other info: We value diverse backgrounds and encourage all candidates to apply, even if they don't meet every requirement.
The predicted salary is between 43200 - 72000 £ per year.
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Compliance Advisory Officer – Rates, London
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Client:
Location:
London, United Kingdom
Job Category:
Other
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EU work permit required:
Yes
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Job Reference:
Job Views:
4
Posted:
29.06.2025
Expiry Date:
13.08.2025
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Job Description:
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
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.
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
#LI-ASO #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.
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.
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Compliance Advisory Officer - Rates employer: Liquidnet
Contact Detail:
Liquidnet 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 help you engage effectively with the team during interviews.
✨Tip Number 2
Network with professionals in the compliance and financial services sectors. Attend industry events or join relevant online forums to connect with people who can provide insights into the role and the company culture at TP ICAP.
✨Tip Number 3
Prepare to discuss real-world scenarios where you applied compliance knowledge in a trading environment. This will demonstrate your practical understanding of the role and your ability to handle challenges in a dynamic setting.
✨Tip Number 4
Showcase your communication skills by practising how to explain complex regulatory concepts in simple terms. This is crucial for the role, as you'll need to convey compliance expectations clearly to various audiences.
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 regulatory frameworks that align with the job description.
Craft a Compelling Cover Letter: Use your cover letter to demonstrate your understanding of the role and how your skills can contribute to TP ICAP's mission. Be sure to mention your ability to communicate complex regulatory concepts clearly and your collaborative approach.
Proofread and Edit: Before submitting your application, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial in a compliance role.
How to prepare for a job interview at Liquidnet
✨Know Your Regulatory Framework
Familiarise yourself with the EMEA regulatory framework, especially the requirements from regulators like the FCA and ESMA. Being able to discuss these regulations confidently will demonstrate your expertise and readiness for the role.
✨Understand G10 Rates Products
Make sure you have a solid understanding of G10 Rates products such as government bonds, swaps, and futures. Be prepared to discuss how these products operate within the trading environment and their relevance to compliance.
✨Showcase Your Communication Skills
Since clear communication is key in this role, practice explaining complex regulatory concepts in simple terms. This will help you convey your ability to engage with various audiences effectively during the interview.
✨Demonstrate Collaborative Spirit
Highlight your experience working collaboratively with front-office teams and other functions. Share examples of how you've built effective working relationships and contributed to team success in previous roles.
