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.
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 world’s leading provider of OTC data, and an award winning all-to-all trading platform.
Founded in London in 1866, the Group operates from more than 60 offices in 27 countries. We are 5,200 people strong. We work as one to achieve our vision of being the world’s most trusted, innovative, liquidity and data solutions specialist.
Role Overview
We are looking for a proactive and collaborative Compliance Advisory Officer to join our EMEA Compliance team. In this role, you will provide day-to-day regulatory advice and support to TP ICAP’s London Liquidnet divisions which includes Liquidnet Equities, COEX and other agency businesses. Product coverage includes equities, rates and futures product lines, Reporting to the Compliance Advisory Manager, you will help foster a strong culture of compliance, integrity, and accountability.
This role offers the opportunity to work closely with a wide range of stakeholders — including Business Managers, Heads of Desks, Brokers, Legal, Risk, HR, IT, Finance, and Operations — supporting both strategic initiatives and day-to-day operations. You will help interpret and implement regulatory requirements, support policy development, deliver training, and contribute to governance forums and regulatory change programmes.
Key Responsibilities
- Build and maintain strong working relationships with business leaders across TP ICAP Group.
- Provide clear, timely, and risk-sensitive regulatory advice to business divisions.
- Analyse regulatory developments and assess their impact on TP ICAP’s operations.
- Draft, review, and update compliance policies, procedures, and internal documentation (e.g. Conflicts of Interest Policy, Compliance Manual).
- Design and implement conduct of business controls aligned with regulatory expectations.
- Conduct investigations and provide assurance that business activities meet applicable regulations.
- Prepare and deliver engaging compliance training sessions and materials.
- Support the governance of regulatory change programmes and attend internal working groups and forums as a Compliance representative.
- Represent TP ICAP at meetings with regulators and industry associations.
- Review compliance monitoring outputs and implement corrective actions where necessary.
- Assist with regulatory applications, such as permissions for new or amended business activities.
- Contribute to projects and broader compliance initiatives as needed.
Experience & Competencies
Essential
- Prior experience in a compliance, legal, or risk management role within financial services.
- Understanding of wholesale financial markets, ideally including inter-dealer broking.
- Knowledge of execution methodologies such as Name Give Up, Matched Principal, and Exchange Give Up.
- Experience working with MTF and OTF trading venues and related compliance obligations.
- Proven knowledge of UK and EU financial regulations, including MiFID II and the FCA Handbook.
- Excellent written and verbal communication skills, with the ability to translate complex regulations into practical guidance.
- Demonstrated attention to detail and organisational skills.
- Experience in Equities and Fixed income products
Desired
- Experience interpreting regulatory developments and assessing their business impact.
- An understanding of risk-based compliance approaches and control design.
- Ability to work effectively with individuals from diverse backgrounds and across a range of functions.
- Comfortable working in a dynamic, fast-paced environment, and adaptable to change.
Band & Level
- Professional / 5
#LI-ASO #LI-Hybrid
Not The Perfect Fit?
Concerned 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. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.
Company Statement
We 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.
Location
UK - 135 Bishopsgate - London