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APAC Risk and Compliance Officer

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TP ICAP

Jan 10, 2025

  • Job
    Full-time
    Senior Level
  • Manila
  • Quick Apply

AI generated summary

  • You need expertise in OTC markets, regulatory knowledge, strong documentation and communication skills, attention to detail, stakeholder collaboration, and proficiency in Microsoft Office; Power Automate or Power BI is a plus.
  • You will oversee compliance and risk management, lead governance meetings, provide strategy support, assess risks, drive process changes, and promote a strong compliance culture.

Requirements

  • Deep understanding of OTC fixed income, equity, FX and commodity & energy markets and business group experience.
  • Regulatory Background.
  • Good documentation skills with the ability to articulate complex topics in a concise and articulate manner.
  • Excellent communication skills (oral and written) and organizational skills (in a matrixed environment).
  • Ability to prioritize work, meet deadlines, achieve goals, and work under pressure in a dynamic and complex environment.
  • Demonstrable experience in working closely with a variety of stakeholders throughout the firm including Front Office, Operations, Middle Office and Compliance teams.
  • Excellent attention to detail.
  • Ability to communicate effectively with colleagues, participants and external stakeholders.
  • Ability to work effectively as part of a team.
  • Experience with Power Automate or Power BI an advantage.
  • Proficient in Microsoft Office, particularly Outlook, Word and Excel.

Responsibilities

  • Acts as resident agent for a branch
  • SME to various stakeholders and /or other team members
  • Lead on all matters relating to compliance and risks relating to the Manila
  • Has the ability to operate with a limited level of direct supervision
  • Governance and oversight may include but not be limited to enterprise risk, operational risk, regulatory risk and flagging innovation opportunities
  • Ability to provide strategy documentation and support to the APAC Risk & Compliance Manager
  • Manage meetings in relation to Committees and forums, including collating management information.
  • Deep understanding of the risk and control assessment framework including the end to end understanding in remediating / addressing identified risks out of appetite including linked deficient controls.
  • Provide independent challenge, oversight and support to the business divisions within Parameta Solutions.
  • Ability to drive innovation, process change and deliver autonomously.
  • Act as a delegate for meetings where requested.
  • Write written reports and provide presentations for a number of governance forums.
  • Encourage a good culture of compliance.
  • Act with integrity and due skill, care and diligence in carrying out your duties.

FAQs

What is the primary purpose of the APAC Risk and Compliance Officer?

The primary purpose is to ensure the second line Risk & Compliance Team effectively safeguards Parameta Solutions by driving compliance with applicable standards, laws, and regulations, managing and reporting control issues, and seeking opportunities for innovation within the firm.

Who does the APAC Risk and Compliance Officer report to?

The APAC Risk and Compliance Officer reports to the APAC Risk & Compliance Manager.

What are the key responsibilities of this role?

Key responsibilities include acting as the resident agent for a branch, serving as a subject matter expert for stakeholders, leading compliance and risk matters, managing governance oversight, providing strategy documentation, and promoting a culture of compliance.

What qualifications are essential for this position?

Essential qualifications include a deep understanding of OTC fixed income, equity, FX, and commodity & energy markets, a regulatory background, strong documentation and communication skills, and the ability to prioritize and meet deadlines in a dynamic environment.

What experience is desired for candidates applying for this role?

Desired experience includes working closely with various stakeholders, excellent attention to detail, effective communication skills, team collaboration, and familiarity with Power Automate or Power BI, as well as proficiency in Microsoft Office applications.

Is there an emphasis on cultural inclusivity within the company?

Yes, TP ICAP emphasizes building a culture of inclusivity and welcomes applicants from diverse backgrounds, encouraging them to apply even if their experience does not align perfectly with every aspect of the job description.

Where is this position located?

The position is located in the Philippines, specifically at the A.T. Yuchengco Centre in Taguig City.

Is there any support for professional development in this role?

Yes, TP ICAP encourages employees to explore opportunities for growth and believes in recognizing unique skills and abilities that contribute to the organization.

What type of reporting is expected from the APAC Risk and Compliance Officer?

The officer is expected to write reports and provide presentations for governance forums, ensuring clarity and comprehension of compliance and risk matters.

Are there any specific tools or software that are preferred for this position?

Familiarity with Power Automate and Power BI is considered an advantage, along with proficiency in Microsoft Office, particularly Outlook, Word, and Excel.

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TP ICAP

Finance
Industry
5001-10,000
Employees
2016
Founded Year

Mission & Purpose

We are the world’s largest inter-dealer broker, the world’s largest energy & commodities broker, and the world’s leading provider of over-the-counter (OTC) pricing data. 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. We operate in 28 countries and employ 5,200 people, including 2,600 brokers. Our clients include top tier investment banks and financial institutions. Through our people and technology, we connect clients to superior liquidity and data solutions across every major asset class, including Rates, FX, Credit Equities, Energy, Renewables and Digital Assets. We are home to a line up of premium brands. Each has a distinct, client-focused offering, underpinned by the financial security, operational strength and robust governance of the TP ICAP Group. Our brands include: •Tullett Prebon •ICAP •Liquidnet •Parameta Solutions •PVM.