The 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.
The 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.
Role Responsibilities
- Support the Compliance Manager and wider Compliance team in delivering the Compliance function's objectives and advisory activities.
- Provide practical, risk-based regulatory advice to business stakeholders on Conduct, Markets and Wholesale Financial Services regulations.
- Assist in responding to day-to-day regulatory queries from business and support functions.
- Support the interpretation and implementation of MiFID II/MiFIR and other regulatory developments, assessing potential business impacts and contributing to implementation activities.
- Assist in maintaining oversight of TP ICAP's European operations to support compliance with applicable regulatory requirements.
- Contribute to the identification of emerging regulatory risks and support the development of appropriate mitigation actions.
- Partner with Risk, Legal and other control functions to support a coordinated and effective control environment.
- Assist in the development, enhancement and maintenance of compliance policies, procedures and controls.
- Support business and functional teams in understanding regulatory obligations and embedding appropriate controls into day-to-day activities.
- Contribute compliance input to regulatory projects, business initiativ
📌 Compliance Advisory Officer (Madrid)
🏢 Tp Icap
📍 Madrid
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