Compliance Advisory Officer

Role Overview

The Compliance team is responsible for proactively engaging with the business to provide clear advice and support to: Ensure the group continues to meet all applicable regulatory requirements; Protect the group and its staff from regulatory sanction; and Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence. The Compliance Advisory Officer will work as a member of the Compliance team, based in TP ICAP's offices, and report directly to the Compliance Manager to foster a strong compliance culture across TP ICAP's companies, with particular responsibility for the Paris and continental European divisions of the business. The role is primarily advisory in nature, spanning conduct of business, regulatory guidance, training, and compliance-related strategic support. The primary objective of the role will be to act as a trusted advisor to the business, working with leadership across the functions to embed regulatory requirements into day-to-day operations and to improve the effectiveness and efficiency of the Compliance function.

Role Responsibilities

• Support the Compliance Manager in driving the Compliance function's strategy, culture, and advisory activities.
• Deliver practical, risk-based regulatory advice to the business across Conduct, Markets, and Wholesale Financial Services regulations.
• Act as a trusted advisor and primary point of contact for day-to-day regulatory queries, providing timely and pragmatic guidance.
• Advise on the implementation and ongoing application of MiFID II/MiFIR and other regulatory developments, assessing business impacts and required actions.
• Support the oversight of TP ICAP's European operations to ensure compliance with applicable regulatory requirements.
• Identify emerging regulatory risks and work with stakeholders to implement effective mitigation strategies.
• Partner with Risk, Legal, and other control functions to maintain a coordinated and effective control framework.
• Assist in the design, implementation, enhancement, and embedding of compliance controls, policies, and procedures.
• Support business and functional teams in developing efficient, sustainable operating models and control environments.
• Provide compliance input into strategic initiatives, regulatory projects, business change programmes, and new business activities.
• Track and support the remediation of compliance, audit, regulatory, and control-related actions.
• Produce and contribute to management information, governance reporting, and regulatory reporting as required.
• Build and maintain strong relationships with senior management, business leaders, regulators, auditors, and key internal stakeholders.
• Represent Compliance at governance forums, committees, and working groups.
• Deliver Compliance training and awareness initiatives across the business.
• Review monitoring outcomes and help ensure timely resolution of identified issues.
• Support compliance oversight across EMEA locations, promoting consistent standards and practices.
• Undertake project work and additional responsibilities as required by the business.
• Travel occasionally within the region as required.

Experience / Competences

Essential

• Significant experience within Compliance, Regulatory Advisory, or Financial Services Regulatory Law.
• Proven ability to provide clear, practical regulatory advice and influence business decision-making.
• Strong knowledge of MiFID II/MiFIR and the broader European regulatory framework applicable to wholesale financial markets.
• Experience interpreting regulatory guidance and external legal advice, translating requirements into practical business solutions.
• Demonstrated success in managing complex compliance initiatives and delivering positive stakeholder outcomes.
• Strong understanding of wholesale financial markets, including interdealer broking and market structure.
• Experience identifying regulatory risks and designing proportionate controls and risk mitigation measures.
• Ability to partner effectively with senior stakeholders to implement regulatory and strategic initiatives.
• Strong analytical and problem-solving skills, with the ability to balance regulatory obligations against commercial considerations.
• Excellent verbal, written, and presentation skills, with the ability to communicate complex issues clearly and succinctly.
• Ability to work independently, exercise sound judgement, and take ownership of outcomes.
• Knowledge of risk-based frameworks, compliance monitoring, and control design.

Desired

• Broad compliance experience across front-office activities, with exposure to post-trade, clearing, and settlement processes.
• Knowledge of the regulatory framework applicable to trading venues (MTFs and OTFs).
• Experience supporting operational transformation, process improvement, or automation initiatives.
• Proven ability to influence and drive change across multiple stakeholder groups and levels of seniority.
• Exposure to fixed income, foreign exchange, commodities, and/or equities markets.