Compliance Analyst

OTC Europe LLP; Greater London; On-site; GBP 35,000 - 52,000; Full time

Job summary

OTC Europe LLP in London seeks a Compliance Associate to support regulatory monitoring and trade oversight. You will contribute to monitoring trades, audits, and communications while assisting with certification and regulatory inquiries.

The role requires familiarity with FCA rules and commodity derivatives, along with strong written and verbal communication and prioritization abilities. Training and ad hoc projects will be part of the responsibilities.

Qualifications

• 1 year of compliance experience in financial services, preferably in institutional brokerage.
• Understanding of commodity derivative products is advantageous.
• Knowledge of ICE and CME rules is beneficial.
• Strong written and verbal communication skills.

Responsibilities

• Carry out trade monitoring in coordination with Operations to support regulatory monitoring.
• Assist with review of late trade reports and follow-up actions.
• Monitor audit trails for trades and related communications.
• Assist with regulatory enquiries and information requests (ICE/CME).
• Support regulatory certification/registration processes under UK and US rules.

Skills

Compliance experience

Regulatory monitoring

FCA rules

Trade monitoring

Communication skills

Time management

Job description

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.