Specialist – Compliance Financial Trading

UK - Anglo American; London; On-site; GBP 60,000 - 80,000; Full time

Job summary

A leading company in the mining sector is seeking a Specialist in Compliance Financial Trading. The role involves managing compliance risks related to financial trading activities, implementing compliance programs, and providing advisory services to various teams. Candidates should have a strong background in compliance and risk management, particularly within trading environments.

Qualifications

• Minimum 5 years of experience in compliance supporting financial trading activities.
• Substantial experience in Trade Surveillance.

Responsibilities

• Implement compliance programme, including risk assessment and monitoring.
• Provide compliance advisory service regarding trading regulations.
• Support KYC process and manage client relationships.

Skills

Compliance

Risk Management

Financial Trading

Anti-bribery and Corruption

AML/CTF

Market Abuse

KYC

Education

University degree in Law

University degree in Accounting

University degree in Economics

Job description

Specialist – Compliance Financial Trading

We’re re-imagining mining to improve people’s lives. That includes the lives of everyone who works for Anglo American. We strive to be a great company where employees are happy and inspired to do their best work. A place where every colleague can grow, develop and realise their potential. To live up to our Always with Purpose employee value proposition, we’re putting the development and growth of colleagues first by ensuring everyone at Anglo American has the career experience they deserve.

Purpose:

The Specialist - Compliance Financial Trading is responsible for supporting the management of compliance risks and opportunities associated with Anglo American’s marketing business, with a particular focus on supporting the exchange and OTC financial trading activity undertaken by Anglo American Marketing.

Responsibilities include:

1. Implement Anglo American’s Marketing compliance programme, including risk assessment, policy drafting, training and awareness, and monitoring. Assist with the Group Risk Assessment process.
2. Provide compliance advisory service to Front, Middle, and Back Office teams regarding regulations relevant to a trading business, including anti-bribery and corruption, AML/CTF, sanctions, anti-trust, and financial trading regulations such as Market Abuse, UK MIFID, RAO, UK EMIR, and exchange rules compliance.
3. Support the KYC process by responding promptly and effectively to escalations.
4. Implement monitoring and reporting processes using trader surveillance tools to prevent and detect Market Abuse, and to identify suspicious orders or transactions.
5. Manage client relationships to deliver high-quality, timely advice. Participate in briefings of management and stakeholders as needed.
6. Support the development of a robust compliance culture within the office.
7. Monitor external regulatory changes impacting Marketing and update compliance frameworks accordingly.
8. Assist Group Policy Owners in tailoring and delivering training materials for Marketing, aligned with the team’s risk profile.
9. Provide regular reports on surveillance, training completion, and compliance issues, including trend analysis and risk horizon scanning.
10. Support the compliance and risk teams to ensure effective operational oversight and monitoring.

Minimum Requirements:

• University degree in Law, Accounting, Economics, or related field.
• At least 5 years of experience in compliance, supporting financial trading activities.
• Experience in compliance/risk management within a trading environment.
• Substantial experience in Trade Surveillance.
• Knowledge of laws and risk mitigation in financial crime, sanctions, and anti-trust areas.
• Experience working with detailed legal and policy documentation related to UK, EU, and International Regulations.
• Experience working within complex organizations across different countries, cultures, and jurisdictions, interfacing with internal and external stakeholders.