Role Overview
Contract: Fixed Term Contract - Starting with 3 Months
Location: London, Hybrid
Reporting: CEO
As a Compliance Officer, you will play a critical role in ensuring that our commodities trading business operates in full compliance with all applicable laws, regulations, and industry standards. This is a key position as we expand our presence internationally and navigate increasingly complex regulatory environments.
In addition to developing, implementing, and monitoring compliance policies and procedures across our UK operations and supporting compliance efforts in other regions such as Dubai, New York, South Africa, and beyond; you will also own and manage the end-to-end onboarding process for new clients and vendors. This includes overseeing KYC, due diligence, and documentation workflows to ensure alignment with both internal standards and external regulatory requirements.
Your key responsibilities will include:
Onboarding:
• Owns and manages the end-to-end onboarding process for new clients and vendors, ensuring full compliance with internal policies and regulatory requirements.
• Conducts thorough Know Your Customer (KYC), Customer Due Diligence (CDD), and Enhanced Due Diligence (EDD) reviews in line with applicable regulations.
• Coordinates with internal stakeholders (e.g. legal, risk, operations) to ensure timely and accurate onboarding of counterparties.
• Monitors and maintains onboarding documentation to ensure records are complete, current, and audit-ready.
• Develops and implements process improvements for onboarding workflows, enhancing efficiency and regulatory alignment.
• Provides guidance and training to relevant teams on onboarding requirements, policy changes, and risk mitigation measures.
• Serves as a point of escalation for onboarding-related compliance issues or exceptions.
• Tracks and reports onboarding metrics and risk indicators to senior management and compliance leadership.
General Compliance:
• Develop a Company-wide compliance framework
• Create and maintain a comprehensive compliance checklist
• Establish a whistleblower mechanism
• Ensure timely filing of regulatory returns
• Develop, maintain, and enforce compliance policies and procedures aligned with relevant regulatory requirements (AML, sanctions, trade compliance, data protection, etc.)
• Monitor regulatory changes and assess their impact on the business.
• Conduct risk assessments and compliance audits to identify gaps and recommend corrective actions
• Manage anti-money laundering (AML) and counter-terrorist financing (CTF) controls
• Conduct compliance training and awareness programs for employees
• Collaborate with internal teams and external legal advisors to ensure compliance with local and international trade regulations
• Liaise with regulators, auditors, and external partners as required
• Support the onboarding of new employees and vendors with compliance checks
• Maintain accurate records and prepare reports for senior management and regulatory bodies
• Act as a point of contact for compliance-related queries and investigations one.
• Own and manage the company’s GDPR compliance, including maintaining privacy notices, overseeing data protection policies, and collaborating with HR to ensure proper handling of employee data
• Develop, deliver, and oversee timely compliance training programs across the organisation, ensuring all employees understand their responsibilities and stay up to date with relevant policies and regulatory requirements
• Drive the continuous enhancement of the company’s compliance framework, ensuring policies and procedures evolve in line with regulatory changes and business growth
We’re looking for someone with:
• Bachelor’s degree
• Relevant certifications (e.g., ICA International Diploma in Compliance, CAMS) etc
• Strong working knowledge of KYC, CDD, and EDD processes and regulatory requirements (e.g., UK Money Laundering Regulations, FATF standards)
• Proficiency with compliance and onboarding tools
• Proven experience in a compliance role, preferably within commodities trading, financial services, or a related industry
• Strong knowledge of regulatory frameworks related to AML, sanctions, trade compliance, and data protection
• Familiarity with international trade regulations and commodities trading compliance requirements
• Excellent attention to detail and strong analytical skills
• Ability to communicate clearly and effectively with stakeholders at all levels
• Proactive, ethical, and able to work independently in a fast-paced environment