Compliance Expert for Fixed Income Markets

3 days ago


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

TP ICAP, a leading provider of market infrastructure, seeks a Compliance Expert to support its fixed income trading and operational functions in the Americas region.

About the Role

This role is responsible for providing regulatory and compliance advice to ensure that the firm operates in accordance with applicable laws and regulations. The Compliance Expert will work closely with business stakeholders, legal, risk, and other functions to provide accurate and timely guidance on new business initiatives, regulatory inquiries, and examinations.

The ideal candidate will have 7-10 years of experience supporting fixed income compliance at a broker-dealer, with a strong understanding of securities markets and applicable reporting requirements. A college degree is required, along with Series 7 and 24 licenses or the ability to obtain them upon hiring. Strong writing skills and the ability to work well with others are essential.

Duties and Responsibilities
  1. Ensure compliance with key regulations related to fixed income trading, including electronic, algorithmic, hybrid, and voice trading.
  2. Provide regulatory advice and support to business stakeholders and other functions.
  3. Review and advise on new business initiatives to ensure compliance with applicable laws and regulations.
  4. Manage and respond to regulatory examinations, investigations, and inquiries related to fixed income businesses.
  5. Ensure timely filing of regulatory reports and updates, and respond to any regulatory inquiries.
  6. Draft, review, and revise manuals, policies, written supervisory procedures, screen protocols, trading rules, and Form ATS exhibits.
  7. Create and maintain controls relative to TRACE and RTRS trade reporting, Reg ATS, Rule 15a-6, and other applicable rules and regulations.
Experience and Competences
  • 7-10 years of experience supporting fixed income compliance at a broker-dealer.
  • In-depth knowledge of fixed income businesses, securities markets, and applicable reporting requirements.
  • College degree required.
  • Series 7 and 24 licenses or ability to obtain upon hiring.
  • Strong writing skills.
Benefits

As a Compliance Expert at TP ICAP, you can expect a competitive salary range of $200,000-$225,000 per year, depending on experience. Additionally, you will be part of a dynamic and inclusive team that values diversity and fosters growth opportunities. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we encourage you to apply.

About Us

At TP ICAP, we believe that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. We are committed to building a culture where everyone feels welcome, ready, and willing to contribute. Our Employee Network, TP ICAP Accord, is central to this effort, promoting awareness, collaboration, sharing best practices, and holding us accountable for driving continuous cultural improvement.



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