Head of Compliance

5 months ago

Dubai, United Arab Emirates TP ICAP Full time

Job Description

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.

Role Overview:
As the Head of Compliance for the Middle East region, you will play a pivotal role in ensuring adherence to regulatory requirements and ethical standards across all business operations within the region. Leading a team of compliance professionals, your responsibilities will encompass developing and implementing robust compliance policies and procedures tailored to regional laws and regulations. You will serve as a trusted advisor to senior management, providing strategic guidance on compliance matters, risk assessment, and mitigation strategies. Collaborating closely with internal stakeholders, regulatory bodies, and external partners, you will oversee compliance monitoring, training, and investigations to uphold the organisation's integrity and reputation. With a focus on fostering a culture of compliance and ethical conduct, you will drive continuous improvement initiatives and proactively address emerging regulatory challenges, positioning the organisation as a trusted and compliant leader in the Middle East market.

Role Responsibilities:
- To assist in the management of the relationship with the DFSA and CBB and to act as a point of contact with each regulator.- To act as the Compliance Officer and MLRO for the Dubai and Bahrain Offices.- To manage the implementation of any enhancements to the EMEA Compliance control framework which are relevant to the Dubai and Bahrain business- To ensure that local staff operate in line with cross-border restrictions and are consistently trained on the evolving cross-border rules applicable to the Dubai and Bahrain business- Reporting lines to (i) he Head of Compliance, EMEA (who in turn reports to the Group Head of Legal and Compliance) (ii) to the SEO of Dubai Office and (iii) to SEO Bahrain Offices. This ensures a direct reporting line into the Board of Tullett Prebon (Dubai) Limited and an indirect reporting line to the Tullett Prebon Plc Executive Committee.- Responsibility for Core Compliance by assisting in the reviewing and updating of all policies and procedures for the Dubai and Bahrain Offices.- Responsibility for Compliance Advisory in the Dubai and Bahrain Offices.- Responsibility for Compliance Monitoring in the Dubai and Bahrain Offices.- To ensure the Compliance Monitoring Programme is completed in a timely manner and any issues identified are escalated as required.- To ensure clients are on-boarded correctly including PEP and Sanction Checks.- To ensure any breaches of compliance policies and procedures are documented and addressed.- To act as an interface between the Compliance Department and the Business.- To manage review and update of all policies and procedures for the Dubai and Bahrain offices.- Ensure local staff complete any mandatory compliance and AML training by the required deadlines.- To manage and provide any compliance training required to be provided to the Business by Dubai and Bahrain Compliance.- To manage the relationship with exchanges (and other trading venues) and to act as a point of contact.- Management and supervision of the Dubai and Bahrain Compliance functions.- Establish an environment that promotes respect for individuals and adheres to the policies and guidelines of the Company.- Provide leadership, direction, advice and guidance to the team, thus maintaining high levels of integrity, motivation and morale.

Experience / Competencies:
Essential- Demonstrated and extensive experience within Financial Services as a Head of Compliance.- A previous Compliance Advisory background is required.- Demonstrated understanding of financial regulations within the region.- Fluency in English, written and verbal, is required.- Established stakeholder management experience.- Formal people management experience.

Desired- Experience within an Interdealer Broker would be advantageous.- Additional language skills would be beneficial.-
- Stakeholder and client management experience across multiple jurisdictions.

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