Compliance Officer

Our client, a leading commodity derivatives Company is seeking a highly motivated Compliance Officer to join its growing business in London. You will play a pivotal role in supporting the Compliance function, focusing on a range of activities for the businesses in the UK. This is a role that will develop and grow into a broader range of activities over time and offers a significant opportunity to learn more about commodities trading on a principal and agency basis.

Key Responsibilities:

• Assisting the Compliance Department with its advisory role in the business by conducting research, processing requests and queries.
• Carry out regular trade and communication monitoring and other ongoing monitoring in accordance with the firm’s monitoring programme.
• Produce management information and proactively interact with traders, brokers, sales and management within the Group on various projects.
• Assisting with filing regulatory returns via Regulatory systems and maintaining the firm’s Senior Managers and Certification Regime framework.
• Support the Compliance department in other ad-hoc matters including but not limited to, drafting procedures, training, providing KYC to third parties, processing regulatory applications and other matters arising from time to time.
• Operate and maintain key compliance and business systems in conjunction with the other functions including but not limited to Exchange related systems, CRMs, trader registration portals and vendor related systems
• Review documentation and carry out risk assessments for both new and existing clients to ensure compliance with AML, legal and regulatory requirements.
• Undertake marketing and financial promotion reviews for the client facing business including, web based, social media, video and television media in line with applicable regulations and requirements.

Key Partnerships:

• Collaborate closely with Capital Markets Desks, client-facing functions and senior stakeholders to manage Compliance priorities and drive efficiencies.
• Act as a key liaison between business units and operational.
• Work with the Markets and Front Office teams in relation to new business initiatives and product development.
• Work closely with the Risk and Operations functions to ensure a collaborative and efficient management of Compliance related risks.

Requirements

• 1-3 years’ experience in the finance industry with a strong interest in financial markets.
• Solid background in Capital Markets with some knowledge of exchange related activities.
• Understanding of derivatives products and applicable regulations preferable.
• Strong communication, prioritisation, and organisational skills.
• Genuine interest in evolving their career in markets and exchange traded products.

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