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For Companies At a Glance
- Tasks: Lead compliance efforts and manage a small team in a dynamic commodities firm.
- Company: Join a leading global commodities organization with a diverse range of services.
- Benefits: Enjoy a hybrid work model with 4 days in the office and competitive perks.
- Why this job: Be at the forefront of regulatory compliance in a fast-paced industry with significant impact.
- Qualifications: 6+ years of compliance experience, preferably in brokerage, with strong academic credentials.
- Other info: Opportunity to represent the company in high-level meetings with regulatory bodies.
The predicted salary is between 43200 - 72000 £ per year.
THE COMPANY: We have been exclusively instructed by our client, a leading global commodities organization. With a global presence, they offer a wide range of services to their clients. The position will assist with managing a small team and will be 4 days in the office.
THE RESPONSIBILITIES:
- Consideration of all relevant statutory and regulatory provisions and particularly the rules of the FCA, LME and LME Clear, NFA and CFTC.
- Consideration of all regulatory developments and guidance promulgated by the FCA and other regulatory bodies.
- Ongoing enhancement and maintenance of the Compliance Monitoring Programme to ensure adherence to all applicable regulatory obligations.
- Ongoing review and implementation of Compliance policies and procedures, assisting with the reconciliation and review of all regulatory reporting requirements (EMIR/MIFIR etc.).
- Assisting with all regulatory submissions and authorizations, including the SM&CR.
- Consideration of all assistance provided by the FIA in connection with specimen ToB documentation, Netting Opinions, and general updates relevant to the Company’s business.
- Providing supervisory oversight into the internal and external controls in connection with trading, LME Select, DEA (Direct Electronic Trading), and the use of algorithms.
- Surveillance of the Company’s trading activities to ensure that all trading by the Business and its clients is in strict conformance with its regulatory responsibilities, including transaction and communication monitoring on various platforms.
- Analysis of all relevant provisions in connection with AML and market abuse.
- Assisting in the provision of relevant training to Company employees.
- Maintenance of Client records and trading authorizations.
- Assisting in the production of all relevant compliance MI/reports, including periodic reports to the Board.
- To represent the Company externally in meetings with the FCA, LME, FIA, and other appropriate bodies.
EXPERIENCE REQUIRED:
- The ideal candidate will have 6 years+ solid Compliance experience gained within a brokerage environment.
- Strong experience of commodity markets would be a distinct advantage.
- Sound academic qualifications are essential, and a Compliance or Legal qualification is preferable.
For further information please contact Marcus Courtney.
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Compliance Manager (Deputy Head) – Commodities firm employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager (Deputy Head) – Commodities firm
✨Tip Number 1
Make sure to stay updated on the latest regulatory changes from the FCA, LME, and other relevant bodies. This knowledge will not only help you in interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the commodities sector, especially those with compliance roles. Engaging in discussions can provide insights into the industry and may lead to referrals or recommendations.
✨Tip Number 3
Familiarize yourself with the Compliance Monitoring Programme and how it applies to trading activities. Being able to discuss specific examples of compliance monitoring will set you apart during the interview process.
✨Tip Number 4
Prepare to discuss your experience with AML and market abuse regulations. Highlighting your analytical skills in these areas will show that you are well-equipped for the responsibilities of the role.
We think you need these skills to ace Compliance Manager (Deputy Head) – Commodities firm
Some tips for your application 🫡
Understand the Role: Make sure to thoroughly read the job description and understand the responsibilities of a Compliance Manager. Highlight your relevant experience in compliance, particularly within the commodities sector.
Tailor Your CV: Customize your CV to reflect your 6+ years of compliance experience, emphasizing any specific work in brokerage environments and commodity markets. Use keywords from the job description to align your experience with the role.
Craft a Strong Cover Letter: Write a compelling cover letter that outlines your understanding of regulatory frameworks like FCA, LME, and CFTC. Discuss how your background makes you a suitable candidate for managing compliance policies and procedures.
Highlight Relevant Qualifications: If you have a Compliance or Legal qualification, make sure to mention it prominently in your application. Also, include any additional training or certifications related to compliance and regulatory affairs.
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you are well-versed in the relevant statutory and regulatory provisions, especially those from the FCA, LME, NFA, and CFTC. Being able to discuss recent regulatory developments will show your commitment and expertise in compliance.
✨Demonstrate Leadership Skills
Since this role involves managing a small team, be prepared to share examples of your leadership experience. Discuss how you've successfully led teams in the past and how you plan to enhance team performance in compliance monitoring.
✨Showcase Your Analytical Skills
The position requires ongoing analysis of trading activities and compliance with AML and market abuse regulations. Be ready to provide examples of how you've used analytical skills to identify compliance issues or improve processes in previous roles.
✨Prepare for External Representation
You'll need to represent the company in meetings with regulatory bodies. Think about your communication style and prepare to discuss how you would effectively convey the company's compliance stance to external stakeholders.
