Securities & Venues Compliance Advisory Senior Manager

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.

Compliance Advisory plays a critical role in supporting and constructively challenging the business to meet the highest standards of regulatory compliance and conduct. The function is organized across regional advisory teams, complemented by three Global Heads of Product Advisory responsible for:
Securities & Venues;
Derivatives Advisory (Rates, FX, Money Markets and Government Bonds) ETD & Commodities Advisory. This role is to support the Head of Securities & Venues Advisory, with responsibility for providing specialist advisory coverage across these areas on a firm-wide basis. The team provides subject matter expertise across securities markets, including equity derivatives and venues supporting all relevant divisions (currently Global Broking and Liquidnet).

The team works in close partnership with regional Compliance Advisory teams, providing specialist input into desk reviews, regulatory training programmes, and the management of complex investigations, as well as supporting the consistent application of global policies and standards.

• Be part of Securities & Venues Advisory team providing high standards of delivery and providing expert oversight and support to global businesses.
• Engage closely with Business Heads to provide advice and challenge on business strategy from a regulatory and conduct perspective.
• Act as a primary point of contact for senior front office stakeholders, providing trusted, outcome based regulatory advice.
• Help to design and deliver global thematic training programmes to enhance regulatory awareness and promote a strong compliance culture.
• Review and provide guidance on change management initiatives, including new product approvals, new broking models, and expansion into new jurisdictions.
• Work on global strategic initiatives, including potential acquisitions, and provide Compliance input into due diligence and implementation planning.
• Represent Compliance at senior business and governance forums, influencing decision-making and ensuring appropriate risk management.
• Partner with regional Compliance and Regulatory teams to assess and coordinate the global impact of upcoming regulatory developments.
• Provide advice on the compliance implications of new products, solutions, execution workflows, and market structure developments to ensure alignment with applicable regulatory and venue requirements.

• Essential Significant compliance advisory experience within wholesale financial markets, with expertise across credit and equity products, including listed equity derivatives.
• Strong understanding of interdealer brokerage and agency execution models, electronic trading platforms, and associated market infrastructure.
• Significant knowledge of either US SEC regulatory requirements, including Alternative Trading System (ATS) regulations, or US SFC regulatory requirements, together with a sound working knowledge of the other jurisdiction and a broad understanding of US securities regulatory frameworks.
• Strong understanding of securities market structure, trading venue regulation, execution models, and regulatory developments impacting wholesale financial markets.
• Demonstrated experience providing compliance advice on new products, business initiatives, trading workflows, and regulatory change initiatives.
• Ability to assess complex regulatory issues and deliver pragmatic, risk-based solutions that support commercial objectives while maintaining regulatory compliance.
• Proven ability to build credibility and influence senior business stakeholders across front office, Compliance, Legal, Risk, and…