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- Tasks: Join us as a Compliance Officer, ensuring regulatory compliance in our dynamic securities business.
- Company: Be part of a forward-thinking financial services firm based in London.
- Benefits: Enjoy competitive salary, private medical insurance, and a cycle to work scheme.
- Why this job: Make an impact by advising on compliance while collaborating with diverse teams in a supportive culture.
- Qualifications: Previous experience in financial services, strong understanding of regulations, and excellent communication skills required.
- Other info: Opportunity to develop training and streamline compliance processes in a vibrant environment.
The predicted salary is between 43200 - 72000 £ 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 commitment to staying updated in a fast-paced regulatory environment.
✨Tip Number 2
Network with professionals in the financial services sector, particularly those working in compliance roles. 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 navigated compliance challenges in previous roles. Highlight your analytical skills and ability to simplify complex regulatory concepts for diverse stakeholders.
✨Tip Number 4
Showcase your proactive approach by identifying potential compliance improvements or innovations that could benefit the company. This will demonstrate your solutions-focused mindset and commitment to enhancing operational processes.
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 compliance, particularly within financial services or regulatory environments. Emphasise your knowledge of commodities and derivatives, as well as any experience with electronic trading platforms.
Craft a Strong Cover Letter: In your cover letter, demonstrate your understanding of the role and how your skills align with the job requirements. Mention specific examples of how you've provided compliance guidance or managed regulatory reporting programmes in the past.
Showcase Communication Skills: Since excellent communication skills are crucial for this role, include examples in your application that illustrate your ability to simplify complex regulatory concepts and present them to diverse stakeholders.
Highlight Analytical Skills: Discuss your analytical skills and provide examples of how you've used data to support compliance oversight. This will show your proactive and solutions-focused mindset, which is essential for the position.
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 provide examples from your previous experience.
✨Showcase Your Analytical Skills
Highlight your ability to utilise data for compliance oversight. Prepare to discuss specific instances where your analytical skills helped identify compliance issues or streamline processes in your past roles.
✨Communicate Clearly
Since excellent communication is key, practice explaining complex regulatory concepts in simple terms. Think about how you would present these ideas to stakeholders with varying levels of understanding.
✨Demonstrate Proactivity
Be ready to share examples of how you've taken initiative in previous roles, whether it was improving compliance processes or developing training for colleagues. This will show your commitment to high standards and a solutions-focused mindset.
