Equities Compliance Officer

Role Overview TP ICAP is seeking an Equities Compliance Officer to provide regulatory/compliance advice and support to the Firm’s equity trading and operational functions to enable the business to operate in accordance with all applicable regulatory requirements. The Equities Compliance Officer will work as a member of the Americas Risk and Compliance team based in TP ICAP’s New York offices and report into the Head of Equities Compliance. Hours: 8:00am – 5:00pm. Key Responsibilities Ensure compliance with key regulations related to equities trading, including electronic and algorithmic trading, Reg ATS, Reg NMS, market access, regulatory reporting (CAT, TRF, Rules 605 and 606), order routing, and best execution. Manage and respond to regulatory examinations, investigations, and inquiries related to the firm’s equities businesses. Ensure timely filing of regulatory reports and updates to Forms ATS‑N and ATS‑R and respond to any regulatory inquiries. Work collaboratively with cross‑functional teams (Legal, Compliance, Client On‑Boarding, Risk, AML Office, Marketing and Information Security). Conduct periodic assessments and reviews to identify and remediate potential gaps. Draft and revise policies, supervisory working papers, and controls as needed. Operate and execute specific controls owned by the Compliance Function. Provide accurate and timely advice to the business and other functions on inquiries and escalations from trading and operations staff. Develop and enhance supervisory reports as needed. Analyze rule proposals and amendments to assess business impact. Review and advise on new business initiatives. Conduct periodic training and risk‑mitigation initiatives. Perform additional or ad‑hoc duties as required to meet business needs. Qualifications In‑depth knowledge of Reg ATS, Reg NMS, and regulatory reporting requirements related to equities trading (e.g., CAT, TRF). Knowledge of options trading (QCC/QCT rules). 5–10years of experience supporting equities compliance at a broker‑dealer. College degree required. Series7 license or ability to obtain it upon hiring. Strong work ethic and ability to work well with others. Good written, verbal, and analytical skills. Aptitude for technical matters. Ability to manage multiple tasks simultaneously. Compensation and Benefits Salary: $170,000–$180,000 (depending on experience). Location NewYork, NY. #J-18808-Ljbffr 670 TP ICAP Americas Holdings Inc.