Compliance Officer, Japan

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.

About Tullett Prebon

A world-leading intermediary in the wholesale financial and energy markets, Tullett Prebon seeks to maximise value for its clients' trading activities across voice, hybrid and pure electronic channels.

We offer broking services for a wide range of asset classes, including Equities, Credit, FX, Rates and Insurance Derivatives. 

Across all asset classes, Tullett Prebon offers e-solutions to give clients the choice to enter prices and execute trades electronically and directly via one of our hybrid electronic trading systems, or to engage with brokers to help identify and negotiate trades.

About Liquidnet

Liquidnet is a next-generation agency execution specialist. Powered by technology that helps drive institutional alpha, our trading and liquidity network intelligently and securely connects the world’s investors with the world’s investments.

Established in 1999 on the belief that there was a better way to trade, Liquidnet' journey began with a vision to create a platform that goes beyond traditional transactional models.

We wanted to build a community where traders could connect, collaborate, and execute trades with confidence. Over the years, we've grown from a vision into a thriving ecosystem that empowers the buy side in ways never before imagined.

We are committed to making trading more efficient, intelligent, and accessible. Our purpose guides every decision we make, from the tools we develop to the relationships we nurture with our Members.

Department 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
• Maintain its reputation as an IDB which acts with honesty, integrity, respect and excellence

Key Stakeholders

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

Role Overview

This role will work as a member of the Compliance team to foster a compliance culture within TP ICAP　Group’s companies, with particular responsibility for the compliance activities of Liquidnet Japan.

Liquidnet is a leading technology-driven, agency execution specialist that intelligently connects the world’s investors to the world’s investments. Since our founding in 1999, our network has grown to include more than 1,000 institutional investors that collectively manage $33 trillion in equity and fixed income assets. Our network spans 46 markets across six continents. We built Liquidnet to make global capital markets more efficient and continue to do so by adding additional participants, enabling trusted access to trading and investment opportunities, and delivering the actionable intelligence and insight that our customers need.

Role Responsibilities

• Internal control manager ICM of Liquidnet Japan
• Assist with the implementation and management  of the TPICAP Compliance  Monitoring Program
• Ensure that the compliance function provide the a true 'value added' service to the TPICAP group
• Assist and identify regulatory change events
• Assist in the identification of upstream regulatory risk, and working to respond to or mitigate any such identified risks;
• Deliver regulatory advice and compliance -related strategic support within the department Build/ maintain effective working relationships with regulators; 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 necessary mitigating measures necessary to facilitate and protect the business
• Provide an active role as a member of the Compliance team, participating in relevant committee s, groups and fora as required
• Assist in the delivery of the Compliance training for the various business units and conduct ad hoc training as and when required
• Review the output from the Monitoring Programme and ensure that any remedial action necessary is carried out
• Conduct periodic desk and or centre reviews
• Review and assess any New Business Initiatives
• Carry out face to face training of front office staff and, as required, senior management Attend business and control committees as required
• Assist other areas of the control teams as required
• Fulfil additional / ad hoc duties, project management as required to meet the needs of the business

Experience / Competences

Essential

• Good English language skills are essential
• Internal Control Manager exam at JSDA  holder is required. Or be prepared to immediately take and pass the relevant JSDA exam to become an ICM
• Minimum of 5 years’ experience in financial institution equity compliance or audit role or similar function, including at least 3 years in Japan
• Good knowledge of JSDA and FSA FIBO guidelines and requirements relating to equity execution broking and electronic trading
• Understanding of regulatory framework governing IT systems and front, middle and back office operations
• Experience with interacting with FSA and JSDA, including inspection and incident Reporting

Desired

• understanding of cash equity electronic trading (Algo, High touch, HFT and Dark pool) (if possible)
• Knowledge of compliance framework and governance structure
• Very strong interpersonal and communication skills
• Strong and resilient personality with a high sense of integrity and independence
• Strong organisational skills and ability to successfully prioritise and manage multiple projects.
• Good team player with positive attitude and self-motivation
• Motivated self-starter, proactive and able to multi-task in fast moving environment
• Willing to accept responsibility and looking to develop role within growing department with promising growth potential

Job Band & Level: Professional & 5

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#LNET

Not The Perfect Fit?

Concerned that you may not meet the criteria precisely? At TP ICAP, we wholeheartedly believe in fostering inclusivity and cultivating a work environment where everyone can flourish, regardless of your personal or professional background. If you are enthusiastic about this role but find that your experience doesn't align perfectly with every aspect of the job description, we strongly encourage you to apply. You may be the ideal candidate for this position or another opportunity within our organisation. Our dedicated Talent Acquisition team is here to assist you in recognising how your unique skills and abilities can be a valuable contribution. Don't hesitate to take the leap and explore the possibilities. Your potential is what truly matters to us.

Company Statement

We know that the best innovation happens when diverse people with different perspectives and skills work together in an inclusive atmosphere. That's why we're building a culture where everyone plays a part in making people feel welcome, ready and willing to contribute. TP ICAP Accord - our Employee Network - is a central to this. As well as representing specific groups, TP ICAP Accord helps increase awareness, collaboration, shares best practice, and holds our firm to account for driving continuous cultural improvement. 

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