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- Tasks: Join us as a Compliance Officer, ensuring regulatory compliance in our dynamic securities business.
- Company: We're a leading financial services firm based in London, focused on commodities and derivatives.
- Benefits: Enjoy competitive pay, private medical insurance, an electric car scheme, and 25 days holiday.
- Why this job: Be part of a supportive team, develop your skills, and make a real impact in compliance.
- Qualifications: Previous experience in financial services or regulatory environments is essential; strong analytical and communication skills required.
- Other info: This role offers the chance to work closely with senior stakeholders and influence compliance practices.
The predicted salary is between 36000 - 60000 £ per year.
We are seeking a proactive and hands-on Compliance Officer with solid experience in commodities and derivatives, to join our London office on a full-time basis. In this role, you will support the Group Head of Compliance in ensuring the effective oversight of our securities business, with a particular focus on regulatory advisory and operational compliance.
Job Requirements:
- Previous experience in a financial services or regulatory environment, ideally within a venue, OTF or MTF or similar regulated brokerage firm.
- Strong understanding of electronic trading platforms, associated regulatory requirements (FCA, EU), and practical experience with commodities and derivatives.
- Experience with regulatory and transaction reporting programmes.
- Demonstrated ability to operate independently while supporting the broader compliance team.
- Excellent communication skills with the ability to simplify and present regulatory content to diverse stakeholders.
- Customer-service mindset with a commitment to ensuring operational processes run smoothly and efficiently.
- Strong analytical skills with a good understanding of how to utilise data to support compliance oversight.
- Proactive, solutions-focused, and committed to high standards of professional conduct.
Job Responsibilities:
- Provide advisory guidance on applicable FCA rules relevant to service companies, with oversight from the Chief Compliance Officer.
- Build strong relationships with senior stakeholders in product and sales, offering compliance guidance on a range of financial products and services, particularly execution management systems.
- Manage and support the MiFIR/EMIR reporting programme, ensuring timely and accurate regulatory submissions.
- Draft, review, and maintain compliance policies and procedures in line with regulatory requirements.
- Coordinate and prepare responses to regulatory enquiries, notifications, and submissions.
- Deliver clear and insightful compliance reporting to governance forums and senior leadership.
- Develop and deliver training to internal stakeholders on relevant compliance topics and regulatory changes.
- Maintain and monitor the operation of key compliance controls across the business.
- Identify opportunities to streamline or enhance compliance processes and frameworks.
- Collaborate with cross-functional teams (risk, compliance, product) to support business change while maintaining regulatory integrity.
- Manage escalations related to client categorisation from the KYC and AML teams.
- Communicate complex regulatory concepts clearly and constructively to support informed decision-making.
- Advise on regulatory priorities such as Operational Resilience and the Senior Managers & Certification Regime (SMCR).
- Contribute to the second line of defence within a dynamic and forward-thinking compliance function.
- Design, implement, and report on Compliance Monitoring Plans.
Job Benefits:
- Competitive salary and performance-based incentives
- Comprehensive Private Medical Insurance
- Electric Car Scheme
- Cycle to Work Scheme
- Employer pension scheme
- 25 days holiday
- Opportunity to be part of a friendly and supportive team
Compliance Officer, Advisory employer: Braemar
Contact Detail:
Braemar Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Officer, Advisory
✨Tip Number 1
Familiarise yourself with the latest FCA regulations and compliance frameworks relevant to commodities and derivatives. This knowledge will not only help you in interviews but also demonstrate your proactive approach to staying updated in a fast-paced regulatory environment.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience in financial services or regulated brokerage firms. Attend industry events or webinars to connect with potential colleagues and learn about the latest trends and challenges in compliance.
✨Tip Number 3
Prepare to discuss specific examples of how you've successfully managed compliance processes or improved operational efficiency in previous roles. Highlighting your analytical skills and customer-service mindset will resonate well with our team.
✨Tip Number 4
Showcase your ability to communicate complex regulatory concepts clearly by preparing a brief presentation or summary on a relevant compliance topic. This will demonstrate your communication skills and your commitment to ensuring that all stakeholders understand compliance requirements.
We think you need these skills to ace Compliance Officer, Advisory
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights relevant experience in financial services, particularly in compliance roles. Emphasise your understanding of regulatory requirements and any specific experience with commodities and derivatives.
Craft a Strong Cover Letter: In your cover letter, clearly articulate your motivation for applying to this role. Discuss how your skills align with the job requirements, especially your ability to simplify complex regulatory concepts and your proactive approach to compliance.
Showcase Communication Skills: Since excellent communication is key for this role, provide examples in your application that demonstrate your ability to convey regulatory content to diverse stakeholders. This could be through previous training experiences or presentations you've delivered.
Highlight Analytical Skills: Detail your analytical skills in your application by mentioning specific instances where you utilised data to support compliance oversight. This will show your capability to manage compliance processes effectively.
How to prepare for a job interview at Braemar
✨Know Your Regulations
Make sure you have a solid understanding of the FCA and EU regulations relevant to commodities and derivatives. Be prepared to discuss how these regulations impact compliance processes and how you've navigated them in previous roles.
✨Showcase Your Analytical Skills
Be ready to demonstrate your analytical abilities, especially in relation to regulatory and transaction reporting programmes. Bring examples of how you've used data to support compliance oversight and improve processes.
✨Communicate Clearly
Practice simplifying complex regulatory concepts. You may be asked to explain these to diverse stakeholders, so showcasing your communication skills will be key. Think of examples where you've successfully communicated compliance issues in the past.
✨Demonstrate Proactivity
Highlight instances where you've identified opportunities to enhance compliance processes or frameworks. Employers are looking for someone who is solutions-focused and can operate independently while supporting the team.
