Equities Compliance Officer

TP ICAP

New York, NY, USA
Base: $170,000-$180,000; bonus/equity: not specifi...
Hybrid
In-depth knowledge of reg ats and reg nms
Experience supporting equities compliance
Ability to manage multiple tasks simultaneously
TP ICAP is a world leading provider of market infrastructure

Job Summary

  • TP ICAP is a world leading provider of market infrastructure.
  • The Equities Compliance Officer will provide regulatory advice to ensure compliance with applicable regulations.
  • The role involves managing compliance projects and collaborating with cross-functional teams.

Matching Summary

TP ICAP is a world leading provider of market infrastructure.

Salary

Base: $170,000-$180,000; Bonus/Equity: Not specified; Benefits: Not specified

Skills & Requirements

Must-have

  • In-depth knowledge of Reg ATS and Reg NMS
  • Experience supporting equities compliance
  • Ability to manage multiple tasks simultaneously

Nice-to-have

  • Strong work ethic and collaboration skills
  • Good written and verbal communication skills
  • Aptitude for technical matters

Key Requirements

  • 5-10 years of experience in equities compliance
  • College degree required
  • Series 7 or ability to obtain upon hiring

Work Rights

Not specified

Tailored Resume

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