ppThe Compliance Advisory Officer will work as a member of the Compliance team, based in TP ICAP's offices, and report directly to the Compliance Manager to foster a strong compliance culture across TP ICAP's companies, with particular responsibility for the Madrid and continental European divisions of the business. /p pThe 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. /p h3Role Responsibilities /h3 ul liSupport the Compliance Manager and wider Compliance team in delivering the Compliance function's objectives and advisory activities. /li liProvide practical, risk-based regulatory advice to business stakeholders on Conduct, Markets and Wholesale Financial Services regulations. /li liAssist in responding to day-to-day regulatory queries from business and support functions. /li liSupport the interpretation and implementation of MiFID II/MiFIR and other regulatory developments, assessing potential business impacts and contributing to implementation activities. /li liAssist in maintaining oversight of TP ICAP's European operations to support compliance with applicable regulatory requirements. /li liContribute to the identification of emerging regulatory risks and support the development of appropriate mitigation actions. /li liPartner with Risk, Legal and other control functions to support a coordinated and effective control environment. /li liAssist in the development, enhancement and maintenance of compliance policies, procedures and controls. /li liSupport business and functional teams in understanding regulatory obligations and embedding appropriate controls into day-to-day activities. /li liContribute compliance input to regulatory projects, business initiatives, operational changes and new business proposals. /li liSupport the tracking and remediation of compliance, audit and regulatory actions. /li liProduce management information, governance reporting and regulatory reporting as required.



/li liBuild and maintain effective working relationships with business stakeholders and key internal control functions. /li liSupport the Compliance Manager in preparing for and participating in governance forums, committees and working groups. /li liDeliver compliance training and awareness sessions across the business. /li liReview monitoring outcomes and support the timely resolution of identified issues. /li liPromote consistent compliance standards and practices across European locations. /li /ul h3Experience Competencies /h3 ul liExperience within Compliance, Regulatory Advisory, Financial Services Regulatory Law or a related control function. /li liGood understanding of MiFID II/MiFIR and the broader European regulatory framework applicable to wholesale financial markets. /li liAbility to interpret regulatory requirements and apply them to practical business scenarios. /li liExperience supporting regulatory change initiatives, compliance projects or control enhancements. /li liUnderstanding of regulatory risk management principles and control frameworks. /li liStrong stakeholder management skills with the ability to build effective working relationships across different functions. /li liDemonstrated analytical and problem-solving skills with the ability to assess regulatory issues pragmatically. /li liExcellent verbal and written communication skills. /li liAbility to manage competing priorities and work independently with appropriate supervision. /li liUnderstanding of compliance monitoring activities, policy development and control design. /li liKnowledge of wholesale financial markets and market conduct requirements. /li liExperience within an interdealer broker, investment firm, trading venue or wholesale financial markets environment. /li liExposure to regulatory frameworks applicable to MTFs and OTFs. /li liExperience supporting business change,



process improvement or automation initiatives. /li liFamiliarity with fixed income, foreign exchange, commodities and/or equities markets. /li liExperience working across multiple European jurisdictions. /li /ul h3Role Band Level /h3 ul liProfessional / 5 /li /ul h3About TP ICAP Group /h3 pThe TP ICAP Group is a world leading provider of market infrastructure. Our purpose is to provide clients with access to integral 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. /p h3Not The Perfect Fit? /h3 pConcerned 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. /p pOur dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. /p pYour potential is what truly matters to us. /p h3Company Statement /h3 pWe 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. /p /p #J-18808-Ljbffr

📌 Compliance Advisory Officer (Madrid)
🏢 Tp Icap
📍 Madrid