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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 commodities trading and compliance.
- Benefits: Enjoy a permanent role with opportunities for professional growth and development.
- Why this job: Make a real impact in compliance while fostering a values-led culture.
- Qualifications: 7+ years in compliance, ideally in commodities or financial services; qualified lawyer preferred.
- Other info: Collaborate globally and champion sustainability initiatives within the compliance framework.
The predicted salary is between 43200 - 72000 £ per year.
Job Description
Candidates must have a minimum of 7 years in compliance, ideally in commodities trading or financial services.\\n\\nOur client, a financial institution, is seeking an OTC Compliance Manager, SMF to join their team on a permanent basis.\\n\\nThe successful candidate will oversee trading compliance, financial crime prevention and conduct across multiple jurisdictions.\\n\\nDuties include (but not limited to):\\n• Ensure compliance with EMIR, MiFID II, MAR regarding derivatives, options, and OTC trades.\\n• Oversee transaction reporting and regulatory interactions.\\n• Monitor and manage interactions with brokers, Exchanges and Regulators.\\n• Maintain and evolve frameworks for AML, sanctions, anti-bribery/corruption and fraud.\\n• Liaise with legal teams and external bodies on investigations or breaches.\\n• Run global whistleblowing, investigations and remediation programs.\\n• Champion GDPR and global data privacy obligations, including cross-border data handling and counterparty due diligence.\\n• Collaborate with sustainability leads to align due diligence and reporting.\\n• Spearhead a compliance program globally, fostering a values-led, accountable culture.\\n• Report regularly to relevant committees.\\n• Deliver bespoke training covering all topics.\\n• Drafting policies, maintaining policies for regulatory evolution.\\n\\nSkills & Experience:\\n• At least 7 years in compliance, ideally in commodities trading or financial services.\\n• Qualified lawyer (in any jurisdiction) with strong knowledge of derivatives.\\n• Working knowledge of financial crime law and data protection and who is familiar with AML/Sanctions/KYC Platform/LexisNexis Bridger.\\n\\nFor 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 compliance and financial services sectors. Attend industry events, webinars, or local meetups to connect with people who can provide insights into the role and potentially refer you to opportunities at StudySmarter.
✨Tip Number 2
Stay updated on the latest regulations and compliance trends, especially those related to EMIR, MiFID II, and MAR. This knowledge will not only help you in interviews but also demonstrate your commitment to the field.
✨Tip Number 3
Prepare to discuss specific examples from your past experience that showcase your ability to manage compliance in a trading environment. Highlight any successful projects or initiatives you've led that align with the responsibilities of the OTC Compliance Manager role.
✨Tip Number 4
Familiarise yourself with StudySmarter's values and culture. Tailor your conversations during networking or interviews to reflect how your personal values align with ours, particularly in fostering an accountable and values-led culture.
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 showcases your understanding of the role and the company. Mention your qualifications as a lawyer and your familiarity with financial crime law, AML, and data protection. Be sure to explain why you are passionate about compliance and how you can contribute to their team.
Highlight Relevant Skills: In your application, clearly outline your skills related to transaction reporting, regulatory interactions, and managing compliance frameworks. Use specific examples to demonstrate your expertise in these areas.
Proofread Your Application: Before submitting, carefully proofread your CV and cover letter for any errors or typos. 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, MiFID II, and MAR, and how you've ensured compliance in previous roles.
✨Demonstrate Regulatory Knowledge
Familiarise yourself with the key regulatory frameworks relevant to the role. Discuss your understanding of transaction reporting and how you have managed interactions with brokers and regulators in the past.
✨Prepare for Scenario-Based Questions
Expect questions that assess your problem-solving skills in compliance scenarios. Prepare examples of how you've handled investigations, breaches, or implemented compliance programs, showcasing your ability to foster a values-led culture.
✨Emphasise Collaboration Skills
This role requires liaising with various teams, including legal and sustainability leads. Be ready to share examples of how you've successfully collaborated across departments to achieve compliance goals and deliver training.
