Equities Compliance Officer

ICAP•New York, NY

13d•Hybrid

About The Position

TP ICAP is seeking an Equities Compliance Officer to provide regulatory/compliance advice and support to the Firm’s equity trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements. The Equities Compliance Officer will work as a member of the Americas Risk and Compliance team based in TP ICAP’s New York offices and report into the Head of Equities Compliance. The candidate will draft, revise, and implement policies and supervisory procedures, as needed, and will respond to regulatory inquiries from applicable regulatory bodies (e.g., FINRA/SEC). Additional duties will include managing/driving Compliance projects and providing stakeholder advice on strategic business initiatives. Hours 8:00am-5:00pm.

Requirements

In-depth knowledge of Reg ATS, Reg NMS and Regulatory Reporting Requirements related to equities trading (e.g., CAT, TRF)
Knowledge of Options Trading (QCC/QCT Rules)
5 -10 years of experience supporting equities compliance at a broker-dealer
College degree required, and Series 7 or ability to obtain the license upon hiring

Nice To Haves

Must have a strong work ethic and the ability to work well with others
Must have good written, verbal and analytical thinking skills
Must have an aptitude for technical matters
Must be able to manage multiple tasks simultaneously

Responsibilities

Ensure the Firm meets its obligations pursuant to key regulations related to equities trading, including but not limited to, electronic and algorithmic trading, Reg ATS, REG NMS, Market Access, Regulatory Reporting (CAT, TRF, Rules 605 and 606), Order Routing and Best Execution
Manage and respond to regulatory examinations, investigations and inquiries related to the firm’s equities businesses
Ensure timely filing of regulatory reports and updates to Forms ATS-N and ATS-R and respond to any regulatory inquiries
Work collaboratively with cross-functional teams as needed (e.g., Legal, Compliance, Client On-Boarding, Risk, AML Office, Marketing and Information Security)
Conduct periodic assessments and other reviews to identify and remediate potential gaps
Draft and revise policies, WSPs, and controls as needed
Operate and execute specific controls owned by the Compliance Function
Provide accurate and timely advice to the Business and other functions, including inquiries and escalations from various trading and operations staff
Develop and enhance supervisory reports as needed
Analyze rule proposals and amendments to assess business impact and ensure proper implementation of any final rules
Review and advise on new business initiatives
Conduct periodic training
Identification of risks and risk mitigation solutions
Fulfill additional / ad hoc duties as required to meet the needs of the Business