Senior Compliance Expert for Equities Trading

5 days ago


New York, New York, United States TP ICAP Full time
Job 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.

We connect clients to superior liquidity and data solutions through our people and technology. The Group operates from over 60 offices in 27 countries, with a team of 5,300 people working together to achieve our vision of being the world's most trusted, innovative, liquidity, and data solutions specialist.

We are seeking a highly skilled Equities Compliance Officer to join our Americas Compliance team based in New York. As a key member of our compliance team, you will provide regulatory/compliance advice and support to our equity and equity derivatives trading and operational functions, ensuring we operate in accordance with all applicable regulatory requirements.

Key Responsibilities
  • Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing, and Best Execution.
  • Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff.
  • Review and advise on new business initiatives, ensuring they comply with applicable laws, regulations, and firm policies.
  • Manage and respond to regulatory examinations, investigations, and inquiries related to the firm's equities businesses.

Requirements
  • In-depth knowledge of Reg ATS, Reg NMS, Equity Derivatives, and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF).
  • 7-10 years of experience supporting equities compliance at a broker-dealer.
  • College degree required.
  • Series 7, 14, and 24 or ability to obtain the licenses upon hiring.

About Us
TP ICAP Accord represents specific groups and helps increase awareness, collaboration, shares best practice, and holds our firm accountable for driving continuous cultural improvement. We strive to create an inclusive atmosphere where everyone can contribute.

Location
New York, USA

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