Securities & Venues Compliance Advisory Senior Manager

TP ICAP • New York, NY

11d • $173,000 • Hybrid

About The Position

TP ICAP is a global market infrastructure provider operating in more than 60 offices across 27 countries, with 5,300 employees. The Compliance Advisory function supports and constructively challenges the business to meet high standards of regulatory compliance and conduct. Its regional advisory teams work alongside global product advisory teams, including Securities & Venues.

This role supports the Head of Securities & Venues Advisory and provides specialist compliance advice across the firm. The team brings securities-market expertise, including equity derivatives and venues, to relevant divisions including Global Broking and Liquidnet. It partners with regional Compliance Advisory teams on desk reviews, regulatory training, complex investigations, and the consistent application of global policies and standards.

The position advises and challenges business leaders on strategy, supports product and business changes, contributes to global initiatives and governance forums, and coordinates with regional Compliance and Regulatory teams on regulatory developments. The role is based at 200 Vesey Street, New York, NY.

Requirements

• Significant compliance advisory experience within wholesale financial markets, with expertise across credit and equity products, including listed equity derivatives.
• Strong understanding of interdealer brokerage and agency execution models, electronic trading platforms, and associated market infrastructure.
• Significant knowledge of either US SEC regulatory requirements, including Alternative Trading System (ATS) regulations, or US SFC regulatory requirements, together with sound working knowledge of the other jurisdiction and a broad understanding of US securities regulatory frameworks.
• Strong understanding of securities market structure, trading venue regulation, execution models, and regulatory developments affecting wholesale financial markets.
• Demonstrated experience advising on compliance for new products, business initiatives, trading workflows, and regulatory change initiatives.
• Ability to assess complex regulatory issues and deliver pragmatic, risk-based solutions that support commercial objectives while maintaining regulatory compliance.
• Proven ability to build credibility and influence senior business stakeholders across front office, Compliance, Legal, Risk, and Operations.
• Excellent stakeholder management skills and ability to adapt communication and engagement style across seniority levels, functions, and regions.

Nice To Haves

• Ability to manage multiple priorities and deliver high-quality outcomes against tight deadlines in a fast-paced environment.
• Strong written and verbal communication skills, including the ability to explain complex regulatory requirements clearly and concisely.
• Collaborative team player with experience working across global and regional teams to deliver consistent regulatory outcomes.

Responsibilities

• Provide expert oversight and support to global businesses as part of the Securities & Venues Advisory team.
• Engage with Business Heads to advise and challenge business strategy from a regulatory and conduct perspective.
• Serve as a primary contact for senior front-office stakeholders, providing trusted, outcome-based regulatory advice.
• Help design and deliver global thematic training programmes to enhance regulatory awareness and promote a strong compliance culture.
• Review and advise on change management initiatives, including new product approvals, new broking models, and expansion into new jurisdictions.
• Contribute Compliance input to global strategic initiatives, including potential acquisitions, due diligence, and implementation planning.
• Represent Compliance at senior business and governance forums, influencing decisions and promoting appropriate risk management.
• Work with regional Compliance and Regulatory teams to assess and coordinate the global impact of upcoming regulatory developments.
• Advise on compliance implications of new products, solutions, execution workflows, and market structure developments to support alignment with applicable regulatory and venue requirements.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed