At a Glance
- Tasks: Lead compliance initiatives and ensure regulatory requirements are met in a dynamic environment.
- Company: Top provider of execution and clearing services in the commodities markets.
- Benefits: Competitive salary, office-based role, and opportunities for professional growth.
- Other info: Join a supportive team focused on compliance excellence and continuous learning.
- Why this job: Make a real impact in compliance while working with industry experts.
- Qualifications: Strong knowledge of commodities derivatives and regulatory frameworks required.
The predicted salary is between 60000 - 75000 £ per year.
THE COMPANY: Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets.
THE RESPONSIBILITIES:
- To act as the compliance specialist in the project team(s) for the more complex regulatory driven implementations, e.g. Mifir/EMIR reporting requirements.
- To support and guide the team with the implementation and management of the compliance risk based monitoring plan, to ensure the monitoring tasks are completed in a timely manner and that the plan remains risk based and fit for purpose.
- Where recommendations are made on the monitoring report findings, to support and guide the business lines with implementation of solutions and ensure actions are tracked to completion.
- To respond to requests on current and planned strategic issues and to advise Management on proactive regulatory control action recommendations.
- To provide accurate and concise management information reporting.
- To provide timely front office advice and sign off on trading and regulatory issues.
- Review policies and procedures to ensure they are current and up to date.
- To take the lead on employee compliance related training, including inductions, product education and periodic refreshers.
- Responsible for the implementation of the SMCR certification process and its all related framework.
- Managing of the standard compliance registers – including but not limited to gifts & entertainment, PA dealing, online training, outside business interests, annual declarations.
- To provide support to the Compliance team as is deemed reasonable and appropriate for the job role.
- To design and deliver compliance training.
EXPERIENCE REQUIRED:
- The role requires an individual with a thorough practical knowledge of the commodities derivative market, and (ideally) physical precious metals market.
- Strong knowledge of the regulatory requirements of LME.
- Practical understanding of the OTC commodity and FX markets.
- Strong knowledge of EMIR, MiFID2, SMCR, IFPR and familiar with Dodd Frank.
- Extensive experience in the practical application of FCA rules including Conduct of Business Sourcebook (COBS), Senior Management Arrangements, Systems and Controls (SYSC), Market Conduct (MAR) and Supervision (SUP).
Senior Compliance Officer (temp) – Office based role employer: Compliance Professionals
As a leading provider in the commodities markets, our client offers a dynamic work environment where compliance professionals can thrive. Employees benefit from a culture of continuous learning and development, with ample opportunities for growth through training and hands-on experience in regulatory frameworks. Located in a vibrant area, the company fosters collaboration and innovation, making it an excellent employer for those seeking meaningful and rewarding careers in compliance.
We think you need these skills to ace Senior Compliance Officer (temp) – Office based role
Compliance Knowledge
Regulatory Requirements Understanding
Mifir Reporting
EMIR Reporting
Risk-Based Monitoring
Management Information Reporting
Trading and Regulatory Issues Advisory
