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Data Compliance Associate

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TP ICAP

Jan 13, 2025

  • Job
    Full-time
    Junior & Mid Level
  • Banking & Finance
  • Manila
  • Quick Apply

AI generated summary

  • You should be an excellent communicator, detail-oriented, with financial services knowledge, project management skills, and experience in data compliance and distribution systems. Analytical and self-motivated.
  • You will prepare audit documentation, maintain reporting tools, analyze data, manage client relationships, assist with audits, and ensure compliance to minimize data leakage.

Requirements

  • The successful candidate will be an excellent communicator, a self-starter and can deliver into complex environments, keeping all stakeholders apprised of progress, risks and issues where appropriate.
  • Data audit best practice knowledge or an understanding of this would be ideal
  • Financial Services Industry knowledge preferred
  • Knowledge of what financial market data is and how it is used in the trading environment including middle and back office functions would be helpful
  • Intermediate knowledge of Excel functionality
  • Can demonstrate a high level of attention to detail as well as project and time management
  • Experience in financial market data environment preferable
  • Experience of Data distribution systems, platforms, entitlement systems, and applications using data would be helpful
  • Strong analytical ability and problem-solving skills and the ability to work under pressure in a fast-paced environment
  • Ability to interpret contractual terms and extract relevant clauses
  • Excellent communication skills
  • Detailed orientation
  • Team player but also able to work independently
  • Organized, disciplined, persistent and self-motivated
  • Can demonstrate strong customer focus
  • Handles situations and problems with care and takes responsibility to ensure resolutions are found
  • Ability to work with diverse groups/ personalities and keep to tight deadlines
  • Personable and engaging
  • Seeks opportunities for improvements
  • Builds relationships with both internal and external stakeholders
  • Works ethically and shows respect to professional and company values
  • Promotes loyalty to TP ICAP and its principles

Responsibilities

  • Prepare and extract the initial audit files/ reports/ documentation relevant for the selected audit candidates
  • Maintain reporting tools with current and timely updates
  • Support the audit process preparing respective documentation for the audits performed by the team:
  • Identify and document all systems and processes involved to support the client audit reviews and ensure a comprehensive client audit base file is available, i.e. extract of issued invoices, master agreements, order forms, royalty information, etc. for the audit review period.
  • Prepare accurate analysis from the extracted data, highlighting any areas that may delay or inhibit the progress of the audit.
  • Prepare the closure or settlement documentation of the audits, including invoicing process.
  • Monitor and follow up the audit process until the audit is closed with any follow up actions completed and payment received, if relevant.
  • Prepare accurate and detailed analyses and reports within short timescales for discussion and review internally and for issue to the audited parties
  • Maintain and develop good client working relationships with effective communication and using a collaborative approach
  • Effectively plan and conclude audit work to ensure that individual and the team’s targets are met
  • Extend, update and document acquired audit knowledge, contribute to new audit policies
  • Provide feedback from client communications to help with the commercial strategy from a data compliance perspective
  • Assist with reporting requirements from vendors and other customers to minimise and eliminate data leakage
  • Contribute to audit strategies, knowledge transfer and standardisation of audit processes for best practice
  • Assist with reviews of internal systems to minimise data leakage
  • Act with integrity and due skill and care and diligence carrying out all duties
  • Other duties where required

FAQs

What is the primary focus of the Data Compliance Associate role?

The primary focus of the Data Compliance Associate role is to ensure that data licensing revenues are protected through regular client audit reviews, minimizing data leakage, and confirming that any breaches or under-licensing are remedied appropriately.

What types of clients does Parameta Solutions serve?

Parameta Solutions serves a diverse range of clients including banks, insurance companies, pension and hedge funds, asset managers, energy producers, and risk and compliance managers, as well as academic institutions.

What skills are essential for a successful Data Compliance Associate?

Essential skills for a successful Data Compliance Associate include strong analytical ability, problem-solving skills, excellent communication, attention to detail, and the ability to work under pressure in a fast-paced environment.

Is prior experience in the financial market data environment necessary for this role?

While not strictly necessary, experience in the financial market data environment is preferable and can be beneficial for understanding the context of the role.

What tools or software are commonly used in this position?

Intermediate knowledge of Excel functionality is important, and familiarity with data distribution systems, platforms, and entitlement systems may also be helpful.

How important is teamwork in the Data Compliance Associate role?

Teamwork is important in this role, as the Data Compliance Associate must collaborate effectively with both internal and external stakeholders while also being able to work independently.

What is the candidate's role in the audit process?

The candidate is responsible for preparing audit files, maintaining reporting tools, supporting documentation preparation, monitoring the audit process, and ensuring that all follow-up actions are completed.

What are the opportunities for growth within the Data Compliance team?

The Data Compliance team encourages knowledge transfer, the development of new audit policies, and contributions to audit strategies, which can offer growth opportunities for individuals looking to advance their careers.

Does TP ICAP promote a culture of inclusivity?

Yes, TP ICAP promotes a culture of inclusivity and values diverse perspectives, encouraging individuals to apply even if they do not meet all criteria of the job description.

Where is the Data Compliance Associate position located?

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

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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.