Junior Compliance Analyst

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:

• Trade and other monitoring, in conjunction with the Ops team, to support compliance with the firms regulatory monitoring requirements.
• Assisting with the review of late trade reports and follow-up as appropriate
• Monitoring of trades (audit trails)
• Communications monitoring
• Assisting with regulatory / exchange enquiries/information requests (ICE and CME).
• Assisting with conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements.
• Assisting with the maintenance of all relevant compliance registers, records, and files.
• Assist with the implementation of the new communications monitoring system.
• Assisting with the firm’s training programme.
• Additional ad-hoc projects and work as requested by the Senior Compliance Officer or Senior Management

CANDIDATE REQUIREMENTS:

• 1 years Compliance experience in the financial services industry, preferably within an institutional brokerage environment
• An understanding of commodity derivative products
• Knowledge of ICE and CME rules is an advantage
• Knowledge and understanding of the FCA rules
• Strong communication skills, both written and verbal
• Strong interpersonal skills and a positive ‘can-do’ attitude
• Good time management and prioritization skills
• Strong analytical skills

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