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Zusammenfassung
A global commodities recruitment firm is seeking a Senior Compliance Officer to join an international shipping company expanding into derivatives brokerage in London. The role involves developing compliance policies, preparing reports for management, and ensuring adherence to regulatory standards. Candidates should have at least 10 years of experience in compliance within trading or brokerage firms, with a legal or finance background being essential. Interested applicants can apply via email or a vacancy form.
Qualifikationen
- 10 years of experience in compliance roles in trading or brokerage firms.
- Skilled in writing compliance reports and delivering internal training.
Aufgaben
- Develop and enforce compliance policies related to trading and client onboarding.
- Prepare compliance reports for management and regulatory bodies.
- Coordinate with auditors during regulatory inspections.
Kenntnisse
Ausbildung
Redstone Commodity Search focus on offering 360° search solutions to the global commodities markets. With a competitive coverage of Trading Houses, Producers, Majors, Utilities, Merchants, Hedge Funds, Investment Banks and Brokerages; Redstone Commodity Search can confidently offer you an edge in today’s volatile market. Redstone Commodity Search are working with a well-established international shipping company that is expanding into the derivatives brokerage space looking for a Senior Compliance Officer to join their team in London.
- Develop, update, and enforce internal compliance policies, procedures, and controls related to trading, client onboarding (KYC/AML), and conflict of interest management.
- Prepare compliance reports for senior management and regulators, and coordinate with internal and external auditors during regulatory inspections and audits.
- Maintain and refine compliance policies, procedures, and regulatory reporting.
- Help put in place compliance procedures grow the business as well as assisting with the wider middle and back-office function.
- Role reports to CEO.
- 10 years of experience with commodities in compliance roles within trading, brokerage, or capital markets firms is essential.
- A legal or finance-related background is essential; certifications such as CAMS, ICA, or a CMA-authorized compliance qualification are preferred.
- Skilled in writing compliance reports, delivering internal training, and communicating effectively with regulators, auditors, and senior leadership.
- Role is to be in London
If you match the job description and are keen on applying for this role; please send us a copy of your resume/cover letter to danielle@redstonesearch.com or submit your application through the Vacancy Form.
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