Compliance Officer - Trading Firm - London

Job type:
Start date:
Real Staffing
City of London
Published at:
flag_no United Kingdom
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Compliance Officer - CommoditiesTrading Firm

A highly successful International trading firm is seeking a Compliance Officer within their London office to mitigate risks surrounding financial crime such as AML, ABC and KYC; in addition to keeping the firm abreast of a broad variety of regulatory developments including EMIR, MiFID and Dodd Frank. This is a stand alone role and a unique opportunity for an ambitious compliance professional to pick up SME regulatory knowledge and expand their remit as the firm continues to grow. You will be supported by the firm in terms with areas of personal development and encouraged to take on initiatives, including communication with peers and Senior Management, development of project plans as needed and follow-through.

  • Provide advise to the business manager and support functions on regulatory changes such as EMIR, MiFID and Dodd Frank
  • Assist with managing regulatory relationships, including visits, investigations, enquiries and routine reporting
  • Ensure the business is complying with all relevant UK regulations, including the provision of the necessary advice and guidance so that appropriate operating procedures and controls are in place
  • Monitor changes to existing or new business practices and products to ensure that procedures are changed accordingly
  • Act as the Nominated Officer having oversight for all aspects of reporting for Anti-Money Laundering compliance liaising with International hubs to manage change.
  • Ensure the implementation of the Anti-Money Laundering policy and KYC program for sites in the UK.
  • Develop and deliver training to staff on compliance matters.
  • Develop and maintain Departmental policies and procedures
  • Lead projects as and when required.

  • 3-5 years of experience in compliance.
  • Aptitude to independently learn about rules and regulations pertaining to the business, with the ability to provide practical and immediate interpretation of regulations in the context of the firm's business activities.
  • Knowledge of Futures & Option exchange rules is beneficial.
  • Bachelor's degree is desirable.

Start Date - July / August

Salary - £55,000 to £65,000

Location - City of London

This firm offer a fantastic array of benefits which include a great pension and bonus expectations up to 35%. You will also receive health & life insurance, 5 weeks holiday and a daily lunch allowance.

Applications are now open and interviews will be commencing next week, so please send CV's in Word format ASAP to Ryan Graham at Please feel free to call Ryan on should you have any questions regarding the role.