Compliance Officer

Job Description
- Group Overview:
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.

Department Overview and Role Summary:
The Compliance function’s mission statement is to proactively engage and advise the Business so it can achieve its strategic and commercial objectives within applicable regulatory requirements and protect the Firm’s reputation.

The Compliance function has five strategic objectives: (1) proactive engagement with the Business; (2) stay ahead of the regulatory environment; (3) leverage technology solutions; (4) review and enhance policies and controls; (5) build global Compliance function.

The Compliance Officer will work as a member of the APAC Compliance team based in TP ICAP’s Singapore office and report directly to the Head of Compliance, TP ICAP Singapore.

The Compliance Officer will foster a compliance culture within TP ICAP’s entities and may cover multiple offices within the APAC region.

Key Stakeholders:
Business stakeholders (Heads of desks and brokers); Legal; Risk; HR; IT; Finance; Operations.

Job Duties:

- Assist the Head of Compliance, TP ICAP Singapore with regard to strategic direction, culture and compliance activity/tasks;
- Ensure that the businesses receive a true ‘value added’ service from the Compliance function;
- Assist with the implementation and management of the Compliance Monitoring Programme in APAC, review output and ensure any remedial action is completed. Provide MI for Monitoring Programme or other purposes;
- Assist and identify regulatory change events and draft internal policies accordingly;
- Assist in the identification of upstream regulatory risk, and work to respond to or mitigate any such identified risks;
- Deliver regulatory advice and compliance-related strategic support within the department;
- Assist to investigate matters escalated from surveillance team;
- Prepare and submit periodic reports as per regulatory requirements;
- Assist with regulatory/audit queries and any remediation;
- Build / maintain effective working relationships with key internal stakeholders including Senior Management, Desk Heads, and support function Heads, internal and external auditors and other members of the control functions to ensure a proper understanding of the risks and mitigating measures necessary to facilitate and protect the business;
- Serve as an active member of the Compliance team, participating in relevant committees, groups and fora, including business and control committees, as required;
- Assist in the delivery of the TP ICAP Compliance training programme for the various business units and conduct ad hoc training and face-to-face training as and when required;
- Conduct periodic desk and or centre reviews as part of the APAC compliance monitoring program;
- Review and assess any New Business Initiatives;
- Assist in embedding and improving the risk framework and Compliance controls and remediating any issues;
- Assist other areas of the control teams as required;
- Fulfil additional / ad hoc duties and project management roles as required to meet the needs of the business;
- This role will be APAC region based however may require some travelling from time to time.

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

Singapore - 50 Raffles Place - Singapore