Apply on Employer Site

TP ICAP · 1 month ago

Fixed Income Compliance Officer

New York, United States

Full-time

Hybrid

Senior Level

$215K/yr - $225K/yr

7+ years exp

TP ICAP is a world leading provider of market infrastructure, seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm’s fixed income trading and operational functions. The role involves drafting compliance manuals, conducting surveillance reviews, and assisting with regulatory inquiries, ensuring adherence to applicable laws and regulations.

AnalyticsFinancial Services

Responsibilities

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

Qualification

Securities markets knowledgeCompliance experienceWriting skillsSeries 7 licenseAnalytical thinkingTechnical aptitudeMulti-taskingVerbal communicationTeam collaboration