This is a key role at OTC Europe, a growing Commodities Brokerage firm based in London. The role requires a range of compliance skills and knowledge, the ability to manage priorities and to quickly become familiar with new compliance requirements.
The role involves but is not limited to:
- Trade and other monitoring, in conjunction with the Ops team, to support compliance with the firm’s regulatory monitoring requirements.
- Assisting with the review of late trade reports and follow-up as appropriate.
- Monitoring of trades (audit trails).
- Communications monitoring.
- Assisting with regulatory/exchange enquiries/information requests (ICE and CME).
- Assisting with conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements.
- Assisting with the maintenance of all relevant compliance registers, records, and files.
- Assist with the implementation of the new communications monitoring system.
- Assisting with the firm’s training programme.
- Additional ad hoc projects and work as requested by the Senior Compliance Officer or Senior Management.
Candidate Requirements:
- 1 year’s compliance experience in the financial services industry, preferably within an institutional brokerage environment.
- An understanding of commodity derivative products.
- Knowledge of ICE and CME rules is an advantage.
- Knowledge and understanding of the FCA rules.
- Strong communication skills, both written and verbal.
- Strong interpersonal skills and a positive ‘can-do’ attitude.
- Good time management and prioritization skills.
