Compliance Advisory Officer

Compliance Advisory Officer

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; and
• Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence.

The role is primarily advisory in nature, spanning conduct of business, regulatory guidance, training, and compliance-related strategic support. The primary objective of the role will be to act as a trusted advisor to the business, working with leadership across the functions to embed regulatory requirements into day-to-day operations and to improve the effectiveness and efficiency of the Compliance function.

Role Responsibilities

• Support the Compliance Manager in driving the Compliance function's strategy, culture, and advisory activities.
• Deliver practical, risk-based regulatory advice to the business across Conduct, Markets, and Wholesale Financial Services regulations.
• Act as a trusted advisor and primary point of contact for day-to-day regulatory queries, providing timely and pragmatic guidance.
• Advise on the implementation and ongoing application of MiFID II/MiFIR and other regulatory developments, assessing business impacts and required actions.
• Support the oversight of TP ICAP's European operations to ensure compliance with applicable regulatory requirements.
• Identify emerging regulatory risks and work with stakeholders to implement effective mitigation strategies.
• Partner with Risk, Legal, and other control functions to maintain a coordinated and effective control framework.
• Assist in the design, implementation, enhancement, and embedding of compliance controls, policies, and procedures.
• Support business and functional teams in developing efficient, sustainable operating models and control environments.
• Provide compliance input into strategic initiatives, regulatory projects, business change programmes, and new business activities.
• Track and support the remediation of compliance, audit, regulatory, and control-related actions.
• Produce and contribute to management information, governance reporting, and regulatory reporting as required.
• Build and maintain strong relationships with senior management, business leaders, regulators, auditors, and key internal stakeholders.
• Represent Compliance at governance forums, committees, and working groups.
• Deliver Compliance training and awareness initiatives across the business.
• Review monitoring outcomes and help ensure timely resolution of identified issues.
• Support compliance oversight across EMEA locations, promoting consistent standards and practices.
• Undertake project work and additional responsibilities as required by the business.
• Travel occasionally within the region as required.

Experience / Competences

Essential

• Significant experience within Compliance, Regulatory Advisory, or Financial Services Regulatory Law.
• Proven ability to provide clear, practical regulatory advice and influence business decision-making.
• Strong knowledge of MiFID II/MiFIR and the broader European regulatory framework applicable to wholesale financial markets.
• Experience interpreting regulatory guidance and external legal advice, translating requirements into practical business solutions.
• Demonstrated success in managing complex compliance initiatives and delivering positive stakeholder outcomes.
• Strong understanding of wholesale financial markets, including interdealer broking and market structure.
• Experience identifying regulatory risks and designing proportionate controls and risk mitigation measures.
• Ability to partner effectively with senior stakeholders to implement regulatory and strategic initiatives.
• Strong analytical and problem-solving skills, with the ability to balance regulatory obligations against commercial considerations.
• Excellent verbal, written, and presentation skills, with the ability to communicate complex issues clearly and succinctly.
• Ability to work independently, exercise sound judgement, and take ownership of outcomes.
• Knowledge of risk-based frameworks, compliance monitoring, and control design.

Desired

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