Fixed Income Compliance Officer

Fixed Income Compliance Officer

TP ICAP is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm's fixed income trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements.

This hybrid Fixed Income Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Fixed Income Compliance. The candidate will provide regulatory/compliance advice and support to the firm's fixed income businesses.

The candidate must have strong writing skills as they will be expected to draft, enhance and/or implement compliance manuals. Written supervisory procedures, screen protocols, trading rules and Form ATS exhibits. The candidate may also conduct surveillance reviews of fixed income transactions, will help create and implement new surveillance tools and, as needed, will also assist with regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training other staff.

Key stakeholders include business managers, heads of desks and brokers; legal; risk; HR; IT; finance; operations and the wider compliance function.

Role responsibilities include:

• Respond to and address inquiries from various fixed income business units throughout the firm to assure compliance with applicable laws, regulations and firm policies
• Draft, review and revise compliance manuals, written supervisory procedures, screen protocols, trading rules, Form ATS exhibits and other documents
• Create and maintain controls relative to TRACE and RTRS trade reporting, Reg ATS, Rule 15a-6 and other applicable rules and regulations
• Develop policies and procedures that reflect changes in business, regulation, and developing views on issues
• Perform oversight and monitoring of documented policies and procedures throughout the firm by performing test work, documenting results and identifying and escalating potential issues
• Design and implement surveillance reports and processes for various trading areas, including the management of said implementation
• Review trade exception reports and trading activity to ensure compliance with appropriate rules, regulations, and firm policies
• Review electronic communications
• Assist in conducting periodic training.

Experience/Competences:

• Essential: Strong writing skills are required; specific knowledge of securities markets is required; 7-10 years' experience at an in-house broker-dealer Compliance Department; college degree is required; Series 7 or ability to obtain the license upon hiring
• Desired: Must have a strong work ethic and the ability to work well with others; must have good written, verbal and analytical thinking skills; must have an aptitude for technical matters; must be able to manage multiple tasks simultaneously

Not the perfect fit? Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.

Company statement: We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. 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.

Location: USA - 200 Vesey Street - New York, NY