Compliance Specialist - Financial Trading

JR United Kingdom; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading global entity in the mining industry seeks a Compliance Specialist to manage compliance risks in financial trading. The role involves implementing compliance programs, providing advisory services, and monitoring regulations. Join a dynamic team committed to sustainable practices and professional growth.

Benefits

Opportunities for professional growth and development

Supportive environment

Contribution to sustainable practices

Qualifications

• Minimum of 5 years of experience in compliance.
• Extensive experience in trade surveillance and risk management.

Responsibilities

• Implement compliance programme including risk assessment and policy drafting.
• Provide compliance advisory services on regulations.
• Monitor regulatory changes and update compliance framework.

Skills

Decision-Making

Problem-Solving

Communication

Education

University degree in Law, Accounting, Economics

Job description

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Compliance Specialist - Financial Trading, london

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Client:

Location:

london, United Kingdom

Job Category:

Other

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EU work permit required:

Yes

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Job Views:

4

Posted:

16.05.2025

Expiry Date:

30.06.2025

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Job Description:

Our client is a leading global entity in the mining industry, committed to sustainable practices and maximising value from its marketing of products and services. We are seeking a Specialist in Compliance to join their dynamic team and support their financial trading activities.

Role Overview: As a Specialist in Compliance, you will play a crucial role in managing compliance risks and opportunities within our client's marketing business. Your focus will be on supporting exchange and OTC financial trading activities, ensuring adherence to relevant regulations, and fostering a robust compliance culture.

Key Responsibilities:

• Implement the client's marketing compliance programme, including risk assessment, policy drafting, training, and monitoring.
• Provide compliance advisory services to Front, Middle, and Back Office teams on regulations such as anti-bribery, AML/CTF, sanctions, anti-trust, and financial trading regulations (Market Abuse, UK MIFID, RAO, UK EMIR).
• Support the KYC process by responding to escalations promptly and effectively.
• Utilize trader surveillance tools to monitor and report on Market Abuse and suspicious transactions.
• Manage client relationships and deliver high-quality, timely compliance advice.
• Monitor regulatory changes and update the compliance framework accordingly.
• Tailor and deliver compliance training to relevant stakeholders.
• Provide regular reporting on surveillance, training completion, and other compliance issues.

Qualifications:

• University degree in Law, Accounting, Economics, or a related field.
• Minimum of 5 years of experience in compliance, with a proven track record in supporting financial trading activities.
• Extensive experience in trade surveillance and risk management in a trading environment.
• Strong knowledge of laws and regulations related to financial crime, sanctions, and anti-trust.
• Experience working within complex organizations across different countries and jurisdictions.

Skills and Competencies:

• Ability to diagnose and improve operational processes.
• Strong decision-making and problem-solving skills.
• Excellent interpersonal and communication skills.
• Ability to build and maintain effective relationships with internal and external stakeholders.
• Proactive and adaptable to regulatory changes.

Why Join Them:

• Be part of a global leader in the mining industry.
• Work in a dynamic and supportive environment.
• Opportunities for professional growth and development.
• Contribute to sustainable and ethical business practices.

How to Apply: If you are a compliance professional with a passion for financial trading and a commitment to excellence, we would love to hear from you.

*PLEASE NOTE: Work visa/sponsorship is not available*