Richard James Recruitment Specialists Ltd
Junior Compliance Analyst
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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 firm's 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.
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CANDIDATE REQUIREMENTS:
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- 1 year of 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.
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