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For Companies At a Glance
- Tasks: Lead compliance teams and oversee trade surveillance processes in a dynamic brokerage environment.
- Company: Join a top global commodity brokerage firm that values meritocracy and career growth.
- Benefits: Competitive salary, professional development, and opportunities for advancement.
- Why this job: Make a significant impact in compliance while working with industry leaders in a fast-paced setting.
- Qualifications: Strong leadership skills and experience in regulatory compliance within commodities brokerage.
- Other info: Exciting opportunity to thrive in a complex, agile organisation with global reach.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
About the Business:
This is an opportunity to join one of the largest commodity brokerage firms in the world. This organisation prides it self on being a meritocracy and helping people to grow, develop and progress in their careers.
About the Opportunity:
In this role you will head the UK compliance and on-boarding teams, covering the firm's EMEA and APAC businesses. As the Senior Compliance Officer, you will hold the SMF 16 (compliance oversight) and SMF 17 (MLRO) designations for one of the entities, while overseeing the teams for both entities.
This is a key leadership role in a business that is continuing to expand.
What you'll be doing:
- Oversight of the Compliance team's trade and communication surveillance process, including system generated alerts and complete trade reconstructions.
- Responding to information requests from various regulators including, but not limited to, the FCA, CFTC, NFA, and futures exchanges such as CME and ICE.
- Managing the On-boarding team, which conducts KYC and CDD functions to support the firm's AML program in line with AML regulations and best practices.
- Ensuring regulatory certifications and registrations are in line with UK (SM&CR) and US (CFTC/NFA) requirements.
A bit about you:
The role requires strong leadership and people management experience, in addition to a range of compliance knowledge. The ideal candidate will have proven experience in a commodities brokerage environment, a strong understanding of regulatory compliance and financial crime requirements, and the ability to thrive in a complex, fast-paced, and agile organisation. You will also have a strong understanding of commodity derivatives products and this must include oil markets.
- Knowledge and understanding of:
- FCA regulations, preferably CFTC/NFA rules as well.
- ICE and CME exchange rules, particularly pertaining to block futures trades.
- AML compliance due diligence and monitoring requirements.
- Global sanctions
Senior Compliance Officer employer: Altum Consulting
Contact Detail:
Altum Consulting Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Senior Compliance Officer
✨Tip Number 1
Network like a pro! Reach out to your connections in the compliance and commodities sectors. Attend industry events or webinars to meet potential employers and get your name out there. Remember, it’s all about who you know!
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of FCA regulations and AML compliance. Be ready to discuss how your experience aligns with the role of Senior Compliance Officer. We want to see your passion for compliance shine through!
✨Tip Number 3
Showcase your leadership skills! Think of examples from your past roles where you’ve successfully managed teams or projects. This is key for a leadership position, so make sure you highlight these experiences during interviews.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets seen by the right people. Plus, we love seeing candidates who are proactive about their job search!
We think you need these skills to ace Senior Compliance Officer
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Senior Compliance Officer role. Highlight your leadership experience and compliance knowledge, especially in commodities brokerage. We want to see how your background aligns with our needs!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're the perfect fit for this role. Share specific examples of your experience with regulatory compliance and how you've led teams in the past. We love a good story!
Showcase Relevant Skills: Don’t forget to showcase your understanding of FCA regulations and AML compliance. Mention any experience you have with KYC and CDD functions, as these are crucial for us. Make it clear that you know your stuff!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications and ensures you don’t miss out on any important updates. Plus, it’s super easy!
How to prepare for a job interview at Altum Consulting
✨Know Your Regulations
Make sure you brush up on FCA, CFTC, and NFA regulations before the interview. Being able to discuss these in detail will show that you’re not just familiar with compliance but that you can navigate the complexities of the role.
✨Showcase Your Leadership Skills
As a Senior Compliance Officer, leadership is key. Prepare examples of how you've successfully managed teams or projects in the past. Highlight your ability to inspire and guide others, especially in high-pressure situations.
✨Understand the Business Landscape
Familiarise yourself with the commodity brokerage industry, particularly oil markets. Being able to discuss current trends and challenges will demonstrate your commitment and understanding of the sector.
✨Prepare for Scenario Questions
Expect questions that put you in hypothetical compliance scenarios. Think through how you would handle trade surveillance alerts or respond to regulatory inquiries. This will help you articulate your thought process and decision-making skills effectively.
