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- Tasks: Lead compliance for trading, financial crime prevention, and conduct across various jurisdictions.
- Company: Join a reputable financial institution focused on compliance and regulatory excellence.
- Benefits: Enjoy a permanent role with opportunities for professional growth and development.
- Why this job: Be part of a values-driven culture that champions accountability and sustainability.
- Qualifications: 7+ years in compliance, ideally in commodities or financial services; qualified lawyer preferred.
- Other info: Collaborate globally and make a real impact in compliance and data privacy.
The predicted salary is between 43200 - 72000 £ per year.
Candidates must have a minimum of 7 years in compliance, ideally in commodities trading or financial services.
Check out the role overview below If you are confident you have got the right skills and experience, apply today.
Our client, a financial institution, is seeking an OTC Compliance Manager, SMF to join their team on a permanent basis.
The successful candidate will oversee trading compliance, financial crime prevention and conduct across multiple jurisdictions.
Duties include (but not limited to):
• Ensure compliance with EMIR, MiFID II, MAR regarding derivatives, options, and OTC trades.
• Oversee transaction reporting and regulatory interactions.
• Monitor and manage interactions with brokers, Exchanges and Regulators.
• Maintain and evolve frameworks for AML, sanctions, anti-bribery/corruption and fraud.
• Liaise with legal teams and external bodies on investigations or breaches.
• Run global whistleblowing, investigations and remediation programs.
• Champion GDPR and global data privacy obligations, including cross-border data handling and counterparty due diligence.
• Collaborate with sustainability leads to align due diligence and reporting.
• Spearhead a compliance program globally, fostering a values-led, accountable culture.
• Report regularly to relevant committees.
• Deliver bespoke training covering all topics.
• Drafting policies, maintaining policies for regulatory evolution.
Skills & Experience:
• At least 7 years in compliance, ideally in commodities trading or financial services.
• Qualified lawyer (in any jurisdiction) with strong knowledge of derivatives.
• Working knowledge of financial crime law and data protection and who is familiar with AML/Sanctions/KYC Platform/LexisNexis Bridger.
For more information on this role please contact Judith Webb by sending your CV quoting ref 16897JW
OTC Compliance Manager, SMF employer: Barbara Houghton Associates
Contact Detail:
Barbara Houghton Associates Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land OTC Compliance Manager, SMF
✨Tip Number 1
Network with professionals in the financial services and commodities trading sectors. Attend industry events, webinars, or conferences to meet potential colleagues and learn about the latest compliance trends.
✨Tip Number 2
Familiarise yourself with the specific regulations mentioned in the job description, such as EMIR, MiFID II, and MAR. Being able to discuss these regulations confidently during interviews will demonstrate your expertise and commitment to the role.
✨Tip Number 3
Consider reaching out to current or former employees of the company to gain insights into their compliance culture and expectations. This can help you tailor your approach and show that you understand their unique environment.
✨Tip Number 4
Prepare to discuss your experience with compliance frameworks and how you've successfully implemented them in previous roles. Highlight any specific achievements related to AML, sanctions, or data privacy that align with the responsibilities of the OTC Compliance Manager position.
We think you need these skills to ace OTC Compliance Manager, SMF
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your relevant experience in compliance, particularly in commodities trading or financial services. Emphasise your 7+ years of experience and any specific achievements related to EMIR, MiFID II, or MAR.
Craft a Compelling Cover Letter: Write a cover letter that directly addresses the key responsibilities mentioned in the job description. Explain how your background as a qualified lawyer and your knowledge of financial crime law make you an ideal candidate for the OTC Compliance Manager role.
Showcase Relevant Skills: In your application, clearly outline your skills related to transaction reporting, regulatory interactions, and compliance frameworks. Mention any experience with AML, sanctions, and data privacy obligations to demonstrate your fit for the role.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or inconsistencies. A polished application reflects your attention to detail, which is crucial in compliance roles.
How to prepare for a job interview at Barbara Houghton Associates
✨Showcase Your Compliance Expertise
Make sure to highlight your extensive experience in compliance, particularly within commodities trading or financial services. Be prepared to discuss specific regulations like EMIR and MiFID II, and how you've successfully navigated compliance challenges in the past.
✨Demonstrate Regulatory Knowledge
Familiarise yourself with the key regulations relevant to the role, such as MAR and GDPR. During the interview, confidently explain how you have implemented these regulations in previous roles and the impact it had on the organisation.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in real-world compliance scenarios. Prepare examples of how you've handled investigations, breaches, or regulatory interactions, showcasing your analytical and decision-making abilities.
✨Emphasise Collaboration Skills
The role requires liaising with various teams and external bodies. Be ready to discuss your experience in collaborating with legal teams, brokers, and regulators, and how you fostered a culture of compliance within your previous organisations.
