Back to search
Our client is a leading brokerage company offering broking and execution services to investment banks, producers and consumers of base metals, hedge funds and portfolio managers across global financial markets and within multiple jurisdictions.
They are looking to recruit an to join to assist with the regulatory oversight and control of the company’s regulated and non-regulated activities. The company is predominantly involved in trading and broking exchange traded derivatives across exchanges such as the LME, ICE and CME.This is a broad role with a particular focus on the following attributes - central compliance (i.e. preparation of management information, managing policies and procedures, keeping compliance logs, and regulatory reporting) and performing reviews as part of the compliance monitoring programme and KYC/AML controls.This opportunity will give the successful candidate excellent first-hand experience to learn different compliance disciplines and opportunities to get involved with business matters from the outset. Training will be provided depending on experience and in line with company policy.
Candidates will ideally have experience of working in UK/EU financial services compliance, preferably from an exchange, broker or firm involved in trading exchange traded derivatives.
Also preferred is experience of handling tests from a compliance monitoring programme and AML framework, and managing updates along with knowledge or experience of MiFID II, market abuse and regulatory reporting obligations (trade and transaction reporting).
