Brokerage Investigation

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.

Job Summary:
This role includes oversight of a team of 6 associates in delivering BAU activities that will include below 3 areas of key responsibilities. Execution of Brokerage Agreements, Client Data Maintenance, Client & Brokerage investigation.

The Team Lead is also responsible to oversee implementation of all change and project related work to Brokerage Management. To be a key member to the APAC operations management team, to participate in collaboration across region or cross operations initiatives. Also to face off to global counterparts for initiative implementations.

Key stakeholders include client relationship management with both internal and external clients is important aspect of this role, to be able to able to have strong client focused DNA to provide best in class solutions to resolve queries, and to turn around the workflow to allow client set ups to account receivable process to be executed smoothly.

As the role straddles across multiple Ops/Finance, Front Office and External Client communications, the individual will require strong communication skills and confidence to front collaborative and management level conversations. To be seen as a go-to in location delegate to the Regional Head of Accounts Receivable & Brokerage Investigation.

Key Responsibilities:
- Execution of Brokerage Agreement responsibilities, including:
- Collaborate with the front office to prepare, draft & distribute brokerage agreements for TPICAP APAC clients- Address brokerage agreement related queries from both internal and external stakeholders in timely manner- Provide business with brokerage analysis reports for rate negotiation with clients- Execution of Client and Operational Data responsibilities, including:
- Maintaining high quality, clean data by adhering to a strict governance and controls framework- Support Data Integration projects/ change initiatives/ process enhancement- Extensive liaison with relevant stakeholders to resolve issues faced

Customer Investigation:
- Ensure the effective and efficient management of trade investigations raised by clients following the review of their invoices, liaising with appropriate departments to solve them.- Perform the brokerage checks requested by the audit.- Track and analyze the transactions where brokerage has been input manually.- Suggest improvement to the systems and processes.- Design and implement reconciliations and MI/KPIs to support our business and evidence controls

General:
- Maintain procedures, system controls, identify key processes and improvements- Where assigned by Team Lead, to support other functions within APAC Operations inclusive of:
- Client Onboarding Team (KYC/AML, periodic client review, remediation, etc)- Trade Management Team (Remediate trade issues with stakeholders)- Accounts Receivable to resolve client queries to close out the F2B invoicing process- Participate in Change and Tech enhancement projects to create process excellence and digitalization- To fulfil any additional/ad-hoc duties as required to meet the needs of the business

Skill Specification

Knowledge- Good understanding of Financial Services & Products (FX, Rates, Credit) Derivatives- Ability to develop new skills and understanding new technology as required- Good understanding of Operational Risk- Good understanding of financial regulatory and compliance landscape

Experience- At least 1-2 years of experience in being in Team Lead capacity- Experience in leading a team with good supervisory and leadership skill- Ability to implement risk-based processes and workflows- Ability to drive and implement tech change within team, and lead structural reforms

Skills Client Focused- Communicates effectively and efficiently to internal and external stakeholders- Build relationships and networks with both internally and externally wherever possible- Constructively handles disagreements to reach a resolution- Ability to work with diverse groups/ personalities

Innovative- Open to innovative ideas/ experiences and ability to create new ideas, approaches or insights. Seeks opportunities for improvements.- Ability to influence