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- Tasks: Advise management on compliance, implement policies, and monitor trading activities.
- Company: Innovative broker/tech firm in global commodity markets.
- Benefits: Competitive salary, dynamic work environment, and opportunities for professional growth.
- Other info: Collaborative culture with cross-team engagement and career advancement potential.
- Why this job: Join a forward-thinking team and ensure regulatory safety in exciting trading activities.
- Qualifications: Onsite availability, knowledge of algorithms, and understanding of trade lifecycle.
The predicted salary is between 80000 - 100000 £ per year.
THE COMPANY
Our client is an innovative broker/tech firm, operating across global commodity markets.
THE RESPONSIBILITIES
- Acting as an advisor to the management team and trading desks, balancing commercial needs with regulatory safety.
- Training and policy administration (personal dealing, gifts and entertainment etc).
- Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them).
- Surveillance, monitoring and investigations including sampling trader chats and reviewing alerts and trades from a market surveillance perspective.
- Liaising with exchanges and dealing with queries from them.
- Cross team collaboration with trading, risk and ops.
- Working with Middle Office and the broader team to implement any new regulatory requirements.
QUALIFICATIONS
- Must be able to work onsite 5 days a week.
- Understanding of algorithms specifically RTS-6.
- Thorough knowledge of the exchange traded derivatives markets.
- Knowledge of how ICE, CME and LME operate, including their specific exchange rulebooks, position limits, and reporting requirements.
- Knowledge of cash-settled contracts and the specific compliance risks associated with these contracts.
- A clear understanding of the full trade lifecycle - from execution to clearing and settlement – to identify where compliance breaches typically occur.
Head of Compliance – Office-based role in London employer: Compliance Professionals
Contact Detail:
Compliance Professionals Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Head of Compliance – Office-based role in London
✨Tip Number 1
Network like a pro! Reach out to people in the industry, especially those who work at firms you're interested in. A friendly chat can open doors and give you insider info that could help you stand out.
✨Tip Number 2
Prepare for interviews by researching the company and its compliance practices. Show them you know your stuff about algorithmic trading and market regulations. We want to see you shine!
✨Tip Number 3
Practice your responses to common interview questions, especially those related to compliance scenarios. We recommend doing mock interviews with friends or using online resources to boost your confidence.
✨Tip Number 4
Don’t forget to apply through our website! It’s the best way to ensure your application gets noticed. Plus, we love seeing candidates who are proactive about their job search.
We think you need these skills to ace Head of Compliance – Office-based role in London
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Head of Compliance role. Highlight your experience with regulatory safety and compliance, especially in relation to algorithmic trading and market surveillance. We want to see how your skills align 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. Mention specific experiences that relate to the responsibilities listed, like training and policy administration. Let us know how you can add value to our team!
Showcase Relevant Experience: When filling out your application, be sure to showcase any relevant experience you have with exchanges like ICE, CME, and LME. We’re looking for someone who understands the ins and outs of compliance risks and trade lifecycles, so don’t hold back!
Apply Through Our Website: We encourage you to apply through our website for a smoother process. It helps us keep track of applications better and ensures you don’t miss out on any important updates. Plus, it’s super easy to do!
How to prepare for a job interview at Compliance Professionals
✨Know Your Regulations
Make sure you brush up on the specific regulations and compliance requirements related to exchange-traded derivatives. Understanding RTS-6 and how exchanges like ICE, CME, and LME operate will show that you're not just familiar with the rules but can also apply them in real-world scenarios.
✨Demonstrate Cross-Team Collaboration
Be prepared to discuss examples of how you've successfully collaborated with different teams in the past. This role requires liaising with trading, risk, and operations, so showcasing your ability to work across departments will be a big plus.
✨Showcase Your Surveillance Skills
Highlight any experience you have with market surveillance, monitoring trader activities, or conducting investigations. Be ready to explain how you would approach sampling trader chats and reviewing alerts, as this is a key part of the role.
✨Understand the Full Trade Lifecycle
Familiarise yourself with the entire trade lifecycle from execution to clearing and settlement. Being able to identify potential compliance breaches at each stage will demonstrate your thorough understanding of the processes involved.