Developing knowledge of the Senior Managers and Certification regime.
Assessment of completed background screening reports to ensure all regulatory requirements are fulfilled.
Assessment of the responses on broker Fitness & Propriety attestations to determine follow up actions and escalations where necessary.
New joiner processing; training set up, sending o policy documents, competency assessments.
Core Compliance Associate at Tp
Providing access to professional qualifications and training through internal and external learning providers.
Processing of NFA documentation and submission of applications via NFA ORS portal.
Timely chasing and registration of aged escalation.
Record keeping and maintenance of internal tracking tools.
Developing knowledge of Exchange registrations and administrative responsibilities (e.g. Eurex, ICE, CME).
EMEA Compliance training processes, including assignment of training, chasing to drive engagement with training assignments and record keeping.
Collating evidence of BAU 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, reconciliation tasks, investigations and project issues as required.
Remaining informed of changes to the regulatory environment.
Taking minutes and providing updated documents for working groups and team meetings.
Compilation of procedure documentation for team owned processes, regular review and implementation of required updates
Experience / Competences
Essential
Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook)
Excellent communication and interpersonal skills, with the ability to engage effectively with stakeholders
Demonstrated organisational skills with the ability to manage competing priorities and meet deadlines under pressure
High attention to detail with a focus on accuracy and quality
Flexible and collaborative approach, supporting wider team priorities as required
Proactive mindset with a commitment to continuous improvement and delivering high service standards
Desired
Prior experience within a Financial Services environment in a Compliance or regulatory administration role
Working knowledge of the FCA Senior Managers & Certification Regime (SMCR)
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
The Compliance team partners proactively with the business to provide clear, pragmatic advice and oversight, ensuring the Group operates in line with all applicable regulatory requirements while upholding the highest standards of integrity and professionalism.
Key objectives of the function include:
Ensuring adherence to regulatory obligations across all jurisdictions
Protecting the Group and its employees from regulatory risk and sanction
Maintaining the firm's reputation as an Interdealer Broker (IDB) that operates with honesty, integrity, respect, and excellence
This role sits within the EMEA Core Compliance team, with a primary focus on employee compliance activities aligned to the firm's Compliance Control Framework.
Tp · Belfast