Job Information

JOB DESCRIPTION

Job Title: Compliance Officer, London

Reporting to: Chief Operating Officer

Context:

our Client is a growing brokerage operation, active in all asset classes (Equity, FX, Commodities, Interest Rates and Fixed Income) and in various products (cash and derivatives). Regulated by the Financial Conduct Authority (FCA). The Group employs circa 180 people in the world, located in 5 locations.

Mission:

The Compliance Officer’s mission is to allow business growth in mitigating regulatory risk for the Group entity and preserve good standing in the market.

Responsibilities:

• Monitor exchange rules and ensure adherence to the rules
• Ensure adherence to FCA rules in all products traded
• Ensure adequate registration of personnel with FCA and exchanges
• Work in close coordination with Paris, US and Asia compliance officers to establish global procedures wherever possible.
• Review AML procedures, produce MLRO reports
• Establish Compliance Monitoring Program
• Establish Compliance Training Program for employees, covering anti-money laundering, bribery and market abuse
• Authorise the opening of new accounts
• Assist the Chief Operating Officer in his supervision role.

Interacting with:

• Group Chief Operating Officer
• Group Chief Financial Officer
• Compliance Officers from other LCM entities
• Sales
• Traders
• Account Opening Officer
• Head of Legal
• Head of Back Office

Knowledge required (industry, systems, and products):

• 5 to 10 years experience as compliance officer in a brokerage or similar operation.
• Deep knowledge and practical experience of FCA rules and exchange rules including across a number of subjects, including AML, research, soft commissions and commission sharing, best execution, transaction reporting, etc…
• Professional qualifications, such as the CISI Diploma (or equivalent) are highly desirable.

Qualities/skills required:

• Thorough and reliable
• Ability to listen
• Autonomous
• Independent
• Ability to put across a point firmly but nicely
• Very good communication skills
• Follows issues through to resolution
• Business minded
• Problem solving
• Responsive
• Proactive
• French language skills are a desirable but not essential