Senior Compliance Officer

A Senior Compliance Officer is required to play a pivotal role in shaping the future of this global financial services firm's compliance function as it expands its OTC derivatives offering and positions itself as a Systematic Internaliser (SI).

As a Senior Compliance Officer, you will serve as the key compliance expert for the growing compliance function. You will work closely with stakeholders across the business, including senior leadership, to strengthen the compliance framework for OTC commodity derivatives and support critical projects.

Your expertise as a Senior Compliance Officer will help drive regulatory compliance, support strategic business initiatives, and build robust compliance controls while providing advice on complex regulatory matters. The team you’ll be joining is a second-line compliance advisory function.

Key Responsibilities

• Act as the Subject Matter Expert (SME) for compliance across OTC commodity derivatives. Ideally, you will come from a Systematic Internaliser (SI).
• Provide day-to-day compliance and regulatory advice, ensuring alignment with FCA regulations and other applicable laws.
• Lead the analysis, interpretation, and implementation of relevant laws and compliance regulations, ensuring the business adapts effectively to changes.
• Strengthen and enhance the compliance framework, especially for OTC products, ensuring robust controls for new business initiatives.
• Represent compliance in key stakeholder discussions, offering strategic input and regulatory guidance.
• Conduct horizon scanning to monitor regulatory developments and ensure proactive compliance measures are taken.
• Support executing the firm’s Compliance Monitoring Programme (CMP), including deep-dive compliance reviews.

Required Skills & Experience

• In a similar compliance advisory role operating at the experienced AVP/manager level or a VP/Senior Manager level, ideally within investment banking, trading houses, or commodity trading firms.
• Strong expertise in OTC derivatives, particularly commodities, and a solid understanding of applicable regulations such as MiFID II.
• Proven ability to interact with senior stakeholders and be a trusted advisor.

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Applicants must be in the UK and eligible to work without sponsorship.

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