Compliance rule law and Regulation graphic interface for business

Compliance Officer

An exciting opportunity has come up with an international (multi product) Broker/Trading business, who are looking for someone to join their Compliance team in a broad and generalist compliance role based in London.

The role will involve working closely with the front desks, operations, and other members of the Compliance Department to help ensure that the firm meets its legal/regulatory obligations.

Responsibilities will include:

  • Providing day-to-day compliance advice and guidance to business areas
  • Designing and maintaining compliance policies and procedures
  • Analysing and interpreting relevant laws and regulations, including identifying changes to these that could affect the business
  • Producing reports for senior management on advisory activities
  • Playing a key role in the firm’s preparations for the implementation of new regulations
  • Assisting with investigating and resolving ad hoc queries from regulators and exchanges
  • Learning how to assist in negotiations with clients and introducing brokers concerning the firm’s key standard form documentation
  • Assisting with the performance of compliance monitoring tasks when required
  • Assisting with giving compliance related staff training 

Essential Skills:

  • A minimum of 3-4 years’ experience in an advisory role
  • Sound knowledge of the products, markets & operational processes (in particular commodity derivatives & FX)
  • Sound knowledge of UK financial services regulation
  • Knowledge of EMIR & MiFIR reporting regimes
  • Good IT skills with some knowledge of Microsoft Office programs
  • Excellent analytical skills and the ability to work through complex issues in a structured and methodical manner
  • The ability to work extremely accurately, thoroughly, reliably, and with attention to detail
  • Strong communication skills, both written and verbal
  • The ability to work calmly under pressure either as part of a team or individually
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