Our client is one of London’s most established yet fast-growing global commodity brokerages, combining international scale with a people-focused culture
This is a key role working within a growing Commodities Brokerage firm based in London. The role requires a range of compliance skills and knowledge, the ability to manage priorities and to quickly become familiar with new compliance requirements.
RESPONSIBILITIES:
1. Trade and other monitoring, in conjunction with the Ops team, to support compliance with the firms regulatory monitoring requirements.
2. Assisting with the review of late trade reports and follow-up as appropriate
3. Monitoring of trades (audit trails)
4. Communications monitoring
5. Assisting with regulatory / exchange enquiries/information requests (ICE and CME).
6. Assisting with conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements.
7. Assisting with the maintenance of all relevant compliance registers, records, and files.
8. Assist with the implementation of the new communications monitoring system.
9. Assisting with the firm’s training programme.
10. Additional ad-hoc projects and work as requested by the Senior Compliance Officer or Senior Management
CANDIDATE REQUIREMENTS:
11. 1 years Compliance experience in the financial services industry, preferably within an institutional brokerage environment
12. An understanding of commodity derivative products
13. Knowledge of ICE and CME rules is an advantage
14. Knowledge and understanding of the FCA rules
15. Strong communication skills, both written and verbal
16. Strong interpersonal skills and a positive ‘can-do’ attitude
17. Good time management and prioritization skills
18. Strong analytical skills