Fixed Income Compliance Officer

TP ICAP Group Plc.•New York, NY

28d•Hybrid

About The Position

TP ICAP is seeking a Fixed Income Compliance Officer to provide regulatory/compliance advice and support to the Firm's fixed income trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements. This hybrid Fixed Income Compliance Officer will work as a member of the Americas Compliance team based in TP ICAP's New York offices and report into the Head of Fixed Income Compliance. The candidate will provide regulatory/compliance advice and support to the firm's fixed income businesses. The candidate must have strong writing skills as they will be expected to draft, enhance and/or implement compliance manuals. written supervisory procedures, screen protocols, trading rules and Form ATS exhibits. The candidate may also conduct surveillance reviews of fixed income transactions, will help create and implement new surveillance tools and, as needed, will also assist with regulatory inquiries from each of the major regulatory bodies (e.g. FINRA, SEC, CFTC) that provide oversight of the firm. Additional duties may include managing Compliance IT projects, handling special projects, and training other staff.

Requirements

Strong writing skills are required
Specific knowledge of securities markets is required
7-10 years' experience at an in-house broker-dealer Compliance Department
College Degree is required
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

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.

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