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
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 the Firm’s Korea office. The Compliance Officer will foster a compliance culture within TP ICAP’s Korea office and will work to support the Firm’s businesses.
Key Stakeholders
Business stakeholders (Heads of desks and brokers); Compliance; Legal; Risk; HR; IT; Finance; Operations
Role Overview
This is a supervisory role in the APAC Compliance function based in Korea and responsible for implementing compliance monitoring program in TPK. This role reports to the Head of Compliance, APAC who is based in Singapore.
Role Responsibilities
- Ensure that TPK has appropriate policies and procedures as they relate to Korean compliance laws, rules and regulations.
- Interpret compliance laws, rules and regulations that apply to TPK
- Seek to engage regularly and proactively with FSS, FSC and BOK.
- Engage with senior management in Korea entity with regards to compliance matters.
- Immediately report to and cooperate with the Head of Compliance - Asia Pacific any suspicion of market abuse, or pressure or request of any kind to act otherwise than in the best interests of TPICAP in accordance with regulatory and compliance requirements.
- Act as MLRO with regard to AML/CTF regulation of Korea.
- Assist the Head of APAC Compliance with regard to strategic direction, culture and activity
- 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
- Assist in the delivery of the TPICAP Compliance training and training based on Korean regulatory requirements for the various business units and conduct ad hoc training as and when required.
- Review and assess any New Business Initiatives
Experience / Competences
Essential
- English and Korean
- Strong knowledge of relevant rules and regulations, and relevant industry standards;
- Understanding of Wholesale Financial Markets
- Solid experience within Compliance/ Regulatory law across diverse fields of knowledge.
- Broad based compliance experience, covering front office and awareness of back office, settlement and clearing systems.
- Knowledge of the securities industry
- Good presence and speaking skills, able to communicate effectively both verbally and in writing at all levels, from desk to senior management
- Strong and resilient personality with a high sense of integrity and independence
- Strong organisational skills an d ability to successfully prioritise and manage multiple projects. Good team player with positive attitude and self-motivation
- Ability to develop new skills and understand new technology as required. Very good understanding of financial providers and markets
- Motivated self- starter, proactive and able to multi-task in fast moving environment
Desired
- Personable and engaging
- Communicates effectively and efficiently to internal and external stakeholders
- Build relationships and networks with both intern ally and externally wherever possible Demonstrates strong customer focus
- Demonstrates ability to work effectively with others
- Constructively handles disagreements to reach a resolution. Ability to work with diverse groups/personalities
Job Band & Level: Professional, 5
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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.
Location
South Korea - Douzone, Euljiro Jung-gu - Seoul
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