Salary: up to £35,000 plus bonus 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 firms 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 years 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
Contact Details:
Richard James Recruitment Specialists Ltd Recruitment Team
