Compliance Officer

Description:

A prestigious Commodities Broker in London is seeking a skilled and knowledgeable Compliance Officer to join their team. This role will be instrumental in ensuring the company’s adherence to relevant regulatory frameworks while providing expert guidance to the trading and front-office teams.

The successful candidate will act as the in-house compliance authority for complex regulatory implementations, oversee monitoring activities, and maintain robust policies and reporting processes. This is an excellent opportunity for an experienced compliance professional with a deep understanding of commodities derivatives and global regulatory standards to play a central role in safeguarding and advancing the firm’s operations.

Key Responsibilities:

• Serve as the compliance lead on complex regulatory projects such as MiFIR and EMIR reporting.

• Oversee the firm’s compliance monitoring plan and ensure its effective execution.

• Provide timely and practical compliance advice to front-office teams on trading and regulatory issues.

• Deliver compliance training programmes, including SMCR certification processes and KYC policy updates.

• Maintain, review, and enhance compliance policies, procedures, and regulatory reporting mechanisms.

Key Requirements:

• Strong knowledge of commodities derivatives markets, particularly base metals.

• In-depth understanding of London Metal Exchange (LME) regulatory requirements.

• Experience in OTC commodities and FX markets.

• Expertise in EMIR, MiFID II, SMCR, IFPR, and Dodd-Frank compliance requirements.

• Practical knowledge and application of FCA regulations, including COBS, SYSC, MAR, and SUP.