Compliance Officer - Paris, France - TP ICAP

TP ICAP

Entreprise vérifiée

Paris, France

il y a 2 semaines

Posté par:

Sophie Dupont

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Description

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 number one Energy & Commodities broker in the world, the world's leading provider of OTC data, and an award winning all-to-all trading platform.

The Group operates from more than 60 offices in 27 countries. We are 5,300 people strong.

We work as one to achieve our vision of being the world's most trusted, innovative, liquidity and data solutions specialist.

Role Responsibilities:

Carry out general compliance duties (Controls, Advisory & training) and projects, for regulated operation.
Develop & perform compliance controls in line with the TP ICAP Europe SA (TPIE) Compliance control framework.
Handle regulatory requests (i.e. for trade data) and investigations, preparing information requested by the regulators and conducting meetings for regulatory visits and/or audits, handling exchange requests (i.e. from their market surveillance).
Investigations: participate and support investigations into potential misconduct (i.e. in cooperation with Finance on gifts and entertainment policy) and anything that violates regulatory/ legal requirements.
Policy and procedure management: establishing, monitoring, maintaining and annually reviewing internal policies, routines and procedures including the POPR and maintaining records of unauthorized trading (Breach Log), Conflicts Register, Complaints Register, Gift Log, Inventory of publications, Incident Report Log, Register of outside interests etc.
Participate in producing the annual Compliance Risk Assessment, Anti-Financial Crime Risk Assessment and any other compliance related assessments.
Support and advise with the TPIE management team in maintaining and enhancing awareness of compliance requirements and issues across the firm.
Provide daytoday regulatory advisory support to the brokers' desks as well as ad hoc advice and guidance as required.
Responsible for keeping TPIE informed about any new, applicable legislation, updating with information on regulatory initiatives, highlighting significant compliance issues and advising on implications of changes in regulation (MiFID II, MAD/MAR, EMIR, REMIT etc.) as identified by TPIE Compliance.
Point of contact: liaising closely with local financial services authorities and the exchanges and clearing houses.
Staff adequately trained: new joiners training, delivering face to face trainings as part of ongoing compliance training program tailored to suit the individual requirements of the energy business, additional updates to the E-Learning program.
Complaints handling and resolving: from customers in line with the required customer protection requirements; from employees which involve a breach of conduct or breach of law.

Experience / Competences:

Good working knowledge of the applicable requirements of EU financial services regime, including the AMF rules and key regulations e.g. MiFID II & RTS, MAB/MAR etc.
Demonstrated experience in a compliance or operational risk role within Financial Markets.
A bachelor's degree or a period of work experience demonstrating equivalent ability.
Proven communication skills across different levels of seniority, both verbal and written.
Demonstrable evidence of motivating and engaging a team and ensuring alignment to business goals and high delivery of team performance.
Able to build relationships and communicate effectively and efficiently to internal and external stakeholders.
Able to work well with diverse groups and personalities.
Experience of Financial Markets.
Fluency in English (both written and verbal).

Company Statement:

The TP ICAP Group is committed to promoting Equality and Diversity and encouraging a culture that actively values difference.

It is recognised that employees from different backgrounds and experiences can bring valuable insights to the work environment and enhance the way we work.

TP ICAP aims to create a positive, cohesive and inclusive culture, where diversity is valued, respected and built upon. The objective is to recruit and retain a diverse workforce that reflects the global markets in which we work.

Location
France - Rue Washington - Paris