Compliance Analyst

OTC Europe LLP; Greater London; On-site; GBP 35,000 - 50,000; Full time

Job summary

OTC Europe LLP based in London is seeking a Compliance Officer to support regulatory monitoring, trade reviews, and compliance recordkeeping across UK and US requirements.

The role requires understanding of commodity derivatives, FCA rules, and strong communication and prioritization skills. You will help implement a new monitoring system and contribute to staff training and ad-hoc projects.

Qualifications

• 1 year’s 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.

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/en-change 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

Skills

Compliance

Attention to detail

Communication skills

Time management

Prioritization

Job description

OTC Global Holdings includes a portfolio of some of the over-the-counter industry’s most powerful and agile independent brokers. By pulling together these power brokers, OTC Global is able to offer unparalleled liquidity and market intelligence, driving ever-greater efficiencies through value-added brokerage services for its Global Fortune 500 and other institutional clientele.

OTC was formed in 2007 and has grown to become a leading broker of commodities, covering financial and physical instruments globally. Strategically positioned worldwide. London and Houston shine as the primary epicenters, joined by New York, Chicago, Louisville, Singapore, and Dubai.

More info can be found here: ABOUT US – OTC Global Holdings

This is a key role at OTC Europe, 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.

The role involves but is not limited to:

• 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

Candidate Requirements:

• 1 year’s 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