At a Glance
- Tasks: Support compliance efforts and ensure adherence to financial regulations in a dynamic environment.
- Company: Join TP ICAP, the world's largest interdealer broker with a focus on innovation.
- Benefits: Enjoy competitive salary, hybrid work options, and opportunities for professional growth.
- Other info: Be part of a culture that values diversity and continuous improvement.
- Why this job: Make a real impact in compliance while working with top industry professionals.
- Qualifications: Experience in financial markets and knowledge of compliance regulations required.
The predicted salary is between 40500 - 49500 £ per year.
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.
We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
Role Overview Working as a member of the EMEA Compliance team, this role will support the Compliance Advisory Senior Managers covering the TP ICAP EMEA Functions.
The Compliance officer / senior manager will work closely with the operations and technology divisions to reinforce the compliance culture within TP ICAP’s EMEA offices, advise and support on conduct of business and regulatory requirements, review and update policies and procedures, and provide regulatory advice and strategic compliance support.
Note: we are able to consider talent based in London, Paris or Madrid.
Role Responsibilities Act as the senior point of contact in relating to Transaction reporting questions from relevant operations and technology teams Develop, implement, and maintain compliance policies and procedures for operations and technology functions.
Lead compliance risk assessments to identify potential areas of non-compliance and implement corrective actions.
Provide training and support to staff on compliance-related matters.
Prepare and submit compliance reports to senior management and regulatory authorities.
Collaborate with other departments to ensure a cohesive approach to compliance across the organization.
Act as an escalation point for more significant or challenging compliance questions being handled by staff in the team Potential line management responsibilities for more junior Transaction Reporting Compliance Officers Represent Compliance in Transaction reporting related meetings and forums Advise on the interpretation of transaction reporting rules across Mi FIR, EMIR, SFTR, and REMIT.
Advise the business on key transaction reporting requirements, including the identification of reportable transactions, data collection, and submission processes.
Stay informed about regulatory updates and changes, and communicate these to relevant stakeholders within the organization.
Act as a point of contact for regulatory bodies and external auditors regarding transaction reporting compliance.
Essential Experience of Wholesale Financial Markets.
Working knowledge of the applicable requirements of the UK and EU financial services regime, including the FCA Handbook and key regulations e. g.
In-depth knowledge of transaction reporting including MIFIR RTS 22, EMIR, SFTR and REMITIn-depth knowledge of Mi FID onboarding processes and client classification Experience in a compliance or operational risk role within Financial Services.
Previous experience analysing regulations and assessing their impact on the business.
Understanding of risk-based approaches and assessments as well as control design and implementation in Risk and Compliance.
Band & Level Manager / 7#LI-Hybrid #LI-ASONot The Perfect Fit?Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution.
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.
- Paris
- Type: Full time
Junior Compliance Manager in London employer: Liquidnet
Liquidnet is an exceptional employer located in the vibrant city of London, offering a dynamic work culture that fosters innovation and collaboration. Employees benefit from comprehensive professional development opportunities, competitive compensation, and a supportive environment that encourages growth within the electronic trading sector. With a focus on enhancing client relationships and driving revenue, Liquidnet provides a meaningful and rewarding career path for those passionate about trading and technology.
StudySmarter Expert Advice🤫
We think this is how you could land Junior Compliance Manager in London
✨Join Compliance Communities
Get involved in compliance and risk communities — both online and offline. Look for forums, LinkedIn groups, or even local meetups where compliance pros hang out. You never know who might drop a job opportunity your way!
✨Attend Industry Conferences
Keep an eye out for compliance and risk management conferences and workshops in your area. These events are a goldmine for networking, and they often have job boards or recruiters on-site looking for new talent. Plus, it’s a chance to learn what's trending in the field.
✨Leverage Your University Career Services
If you’ve recently graduated or are still studying, head over to your university's career services. Many companies, including those in compliance, actively recruit fresh talent through these services, so make sure you tap into that resource.
✨Showcase Your Knowledge Online
Start writing articles or blog posts about compliance topics that interest you. Share them on platforms like LinkedIn to demonstrate your knowledge and passion. This not only builds your presence in the field but can also catch the attention of companies like Liquidnet looking for candidates who are engaged and informed.
We think you need these skills to ace Junior Compliance Manager in London
Some tips for your application 🫡
Show Your Understanding of Compliance:In the compliance-risk field, it's super important to showcase your understanding of regulations and risk management frameworks. Highlight any relevant coursework, certifications (like ICA or AML), or even projects that demonstrate your knowledge and commitment to this area. We want to see how you can navigate this complex landscape!
Quantify Your Achievements:When detailing your experience, try to quantify your achievements. For example, if you've previously worked on a project that improved compliance metrics or reduced risk exposure, give us the numbers! This data-driven approach really stands out to hiring managers in compliance-risk roles.
Tailor Your CV to Reflect Relevant Skills:Make sure your CV highlights skills that are particularly relevant to compliance, like attention to detail, analytical thinking, and report writing. Ensure these are easy to spot – consider using bullet points to break down your responsibilities and achievements for maximum impact!
Craft a Motivating Cover Letter:In your cover letter, let us know why you’re excited about the compliance-risk role at Liquidnet. Share what motivates you about compliance, and how you believe you can contribute to our mission. This is your chance to showcase not only your skills but also your passion for this important field!
How to prepare for a job interview at Liquidnet
✨Master the Regulations
Brush up on key compliance regulations relevant to the industry you're applying to. Familiarising yourself with specific laws and frameworks used in your field will give you an edge during technical questions. Show that you’re not just aware of them but can also apply them—think real-life scenarios!
✨Show Your Analytical Skills
Compliance roles really focus on analytical skills, so be prepared for case studies or situational questions during the interview. We've got to demonstrate how we approach risk assessments or compliance audits, possibly drawing on examples from past experiences or university projects. Bring some thoughtful case scenarios to discuss!
✨Know Your Tools
Get comfortable with commonly used compliance software and tools. Familiarity with platforms like RSA or MetricStream can really impress during your interview, as it shows you're ready to hit the ground running. If you’ve had any experience with them, make sure to highlight that!
✨Align with Company Culture
Since it's a full-time position, show your long-term commitment and interest in the company’s mission and values. Dive into how your ethics and professional philosophy align with Liquidnet’s stance on compliance. A shared vision can really resonate with interviewers looking for fit as much as skill!
