Compliance Officer

Responsibilities

• Assisting Compliance management and the Compliance team in providing day-to-day compliance supervision in relation to the Automated Trading Services ("ATS") and EQS sales-trading businesses.
• Handling regulatory enquiries/inspections and internal investigations/audits and assist in any remediation.
• Assist with the implementation and management of the Compliance Monitoring Programme in APAC, review output and ensure any remedial action is completed. Provide MI for Monitoring Programme or other purposes.
• Assist in the management of KYC policy algo checklists and escalations
• Prepare and submit periodic reports as per regulatory requirements.
• Build / maintain effective working relationships with key internal stakeholders including Senior Management, Desk Heads, support function Heads, internal and external auditors and other members of the control functions to ensure a proper understanding of the risks and necessary mitigating measures to facilitate and protect the business.
• Serve as an active member of the Compliance team, participating in relevant committees, groups and fora, including business and control committees, as required.
• Conduct periodic desk and or centre reviews as part of the APAC compliance monitoring program.
• Experience / Competences
• Essential
• 2-4 years of broad based compliance experience, covering front office and awareness of back office, settlement and clearing systems. Experience in surveillance is highly preferable.
• Strong understanding of equities, particularly in an electronic trading environment.
• Good knowledge of Asian markets and regulatory regimes such as the SFC and SEHK;
• Strong knowledge of relevant rules and regulations, and relevant industry standards;
• Solid experience within Compliance / Regulatory law across diverse fields of knowledge;
• Desired
• Knowledge of compliance framework and governance structure
• Very strong interpersonal and communication skills
• Strong and resilient personality with a high sense of integrity and independence
• Strong organisational skills and ability to successfully prioritise and manage multiple projects.
• Good team player with positive attitude and self-motivation
• Motivated self-start

Benefits

Additional Information

Group Overview 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. Department 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 Key Stakeholders This role works closely with all departments at Liquidnet, in particular the following groups: Liquidnet APAC management, Sales and Trading, Product, Operations, Product Support (technology) and Enterprise Technology Services. This role may also work with Legal, Risk, HR and Finance. Role Overview This role will work as a member of the Compliance team to foster a compliance culture within TP ICAP Group's companies, with particular responsibility for the compliance activities of Liquidnet Hong Kong. Liquidnet is a leading technology-driven, agency execution specialist that intelligently connects the world's investors to the world's investments. Since our founding in 1999, our network has grown to include more than 1,000 institutional investors that collectively manage $33 trillion in equity and fixed income assets. Our network spans 46 markets across six continents. We built Liquidnet to make global capital markets more efficient and continue to do so by adding additional participants, enabling trusted access to trading and investment opportunities, and delivering the actionable intelligence and insight that our customers need. This is a trading floor-based role providing real time compliance support to the business. The candidate will work closely with the Liquidnet APAC business to reinforce the compliance culture within TP ICAP, advise and support on conduct of business requirements, review and update policies and procedures, and provide regulatory advice and strategic compliance support.

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