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- Tasks: Support compliance monitoring and assist with regulatory processes in a dynamic brokerage.
- Company: Join a fast-growing global commodity brokerage with a people-focused culture.
- Benefits: Full-time role with opportunities for growth and development in the financial services sector.
- Why this job: Kickstart your career in compliance and make a real impact in the financial industry.
- Qualifications: 1 year of compliance experience and strong communication skills required.
- Other info: Exciting entry-level position with a chance to learn from industry experts.
The predicted salary is between 28800 - 48000 £ per year.
Our client is one of London’s most established yet fast‑growing global commodity brokerages, combining international scale with a people‑focused culture. This is a key role working within 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.
Responsibilities:
- 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 of 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.
- Strong analytical skills.
Seniority Level: Entry level
Employment Type: Full‑time
Job Function: Legal, Analyst, and Other
Industries: Financial Services, Securities and Commodity Exchanges, and Oil and Gas
Location: London, England, United Kingdom
Junior Compliance Analyst employer: RICHARD JAMES RECRUITMENT SPECIALISTS LTD
Contact Detail:
RICHARD JAMES RECRUITMENT SPECIALISTS LTD Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Junior Compliance Analyst
✨Tip Number 1
Network like a pro! Reach out to people in the compliance field, especially those working in commodity brokerages. A friendly chat can lead to insider info about job openings and even referrals.
✨Tip Number 2
Prepare for interviews by brushing up on your knowledge of ICE and CME rules. Show us you know your stuff and can handle compliance challenges with confidence. Practice common interview questions related to compliance scenarios.
✨Tip Number 3
Don’t underestimate the power of follow-ups! After an interview, drop a quick thank-you email to express your appreciation. It keeps you fresh in their minds and shows your enthusiasm for the role.
✨Tip Number 4
Apply through our website! We’ve got loads of resources to help you ace your application and connect with potential employers. Plus, it’s a great way to stay updated on new opportunities in compliance.
We think you need these skills to ace Junior Compliance Analyst
Some tips for your application 🫡
Tailor Your CV: Make sure your CV is tailored to the Junior Compliance Analyst role. Highlight any relevant compliance experience and skills that match the job description. We want to see how you fit into our people-focused culture!
Craft a Compelling Cover Letter: Your cover letter is your chance to shine! Use it to explain why you're passionate about compliance and how your background makes you a great fit for our team. Keep it concise but engaging – we love a good story!
Show Off Your Communication Skills: Since strong communication skills are key for this role, make sure your application reflects that. Use clear and professional language, and don’t forget to proofread for any typos or errors. We appreciate attention to detail!
Apply Through Our Website: We encourage you to apply directly through our website. It’s the easiest way for us to receive your application and ensures you’re considered for the role. Plus, it shows you’re proactive – a quality we value!
How to prepare for a job interview at RICHARD JAMES RECRUITMENT SPECIALISTS LTD
✨Know Your Compliance Basics
Make sure you brush up on your compliance knowledge, especially around FCA rules and commodity derivatives. Being able to discuss these topics confidently will show that you're serious about the role and understand the industry.
✨Showcase Your Analytical Skills
Prepare examples of how you've used your analytical skills in previous roles or projects. Whether it's monitoring trades or handling compliance reports, having specific instances ready will demonstrate your capability to handle the responsibilities of the Junior Compliance Analyst position.
✨Communicate Clearly
Since strong communication skills are a must, practice articulating your thoughts clearly and concisely. You might be asked to explain complex compliance concepts, so being able to simplify them will impress your interviewers.
✨Demonstrate a Can-Do Attitude
Exude positivity and a willingness to learn during the interview. Share instances where you've tackled challenges with a proactive approach. This attitude aligns perfectly with the people-focused culture of the firm and will make you a memorable candidate.
