At a Glance
- Tasks: Monitor trades, assist with compliance reviews, and support regulatory enquiries.
- Company: OTC Europe, a dynamic Commodities Brokerage firm in London.
- Benefits: Gain valuable experience in compliance within a supportive team environment.
- Other info: Opportunity for career growth and involvement in exciting projects.
- Why this job: Join a growing firm and make a real impact in the financial services industry.
- Qualifications: 1 year of compliance experience and strong communication skills required.
The predicted salary is between 45000 - 55000 £ per year.
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.
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Compliance Analyst employer: OTC Europe LLP
OTC Europe is an exceptional employer that fosters a dynamic and supportive work environment in the heart of London. With a strong emphasis on employee growth, we offer comprehensive training programmes and opportunities to engage in diverse compliance projects, ensuring that our team members are well-equipped to excel in their roles. Our collaborative culture encourages open communication and innovation, making it a rewarding place for professionals seeking meaningful careers in the financial services industry.
