Compliance Specialist
Compliance Specialist
Job Overview:
We are seeking a professional Compliance Officer, to effectively collaborate with departments such as Trading, Legal, Risk, and Technology to provide specialised compliance support for FX and Commodity Options trading operations.
The Compliance Officer will ensure that the firm's activities comply with applicable regulations and legal requirements, supporting the growth of the business in a secure and compliant manner. The role requires a mix of operational expertise and regulatory knowledge to enhance the compliance framework and monitoring systems.
Key Duties:
- Advise FX and Commodities traders on compliance matters
- Monitor and review daily trading activities and communication channels
- Respond to inquiries from exchanges and regulatory authorities
- Oversee reporting requirements (e.g., MiFIR, EMIR)
- Ensure accurate registration of trading activities with exchanges
- Perform compliance-related risk assessments, including anti-money laundering and market abuse, and implement controls as necessary
- Assess new business projects and contribute to the creation of a strong compliance infrastructure
- Assist in the delivery of compliance training for staff
- Work collaboratively with global compliance teams
Qualifications & Skills:
- A minimum of 5 years of compliance experience in the derivatives markets
- Comprehensive knowledge of FX and Commodity derivative trading regulations
- Experience in OTC/algorithmic trading compliance and surveillance processes
- Solid understanding of UK trading laws and regulations
- Familiarity with US-listed derivatives (CME, ICE, OCC) is beneficial
- Strong analytical and communication abilities
- Self-motivated, quick learner, and able to work effectively in a dynamic environment
- Process-oriented with a focus on improving compliance controls
If you are a proactive and detail-oriented individual, who enjoys working with complex data sets and systems, please apply now.
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