Job Description
We are seeking an experienced Compliance Specialist to join our team as a key member of the Legal Affairs department at Richard James Recruitment Specialists Ltd. Based in Central London, this role involves working closely with the Head of Compliance & MLRO to develop and implement effective compliance programs.
Key Responsibilities:
* Assist the Head of Compliance & MLRO in developing and maintaining a robust compliance program.
* Review trading activities and related support functions to identify and mitigate regulatory compliance risk.
* Collaborate with the Compliance Manager to deliver staff training and assurance activities.
* Conduct thorough compliance investigations and provide expert advice as required.
* Maintain awareness of financial regulatory developments and provide guidance on EMIR, MiFID, MAR, REMIT, Sanctions, and exchange rules.
* Develop and implement ongoing improvements to trade monitoring, considering commodities we trade against market abuse, anti-money laundering, antitrust, regulatory, and exchange obligations.
* Ensure effective reporting and record-keeping routines, ensuring recommendations are acted upon.
Qualification Requirements:
* An experienced compliance professional with expertise in compliance monitoring, assessing compliance risk, and developing monitoring routines.
* Experience of appraising trading activities and support functions within a trading environment, preferably with energy trading experience.
* A good knowledge of physical trading, exchange trading, and OTC markets, preferably within energy trading.
* A strong understanding of financial services regulation, including UK and US regulators, Anti-Bribery Act, and AML legislation.
* Regulatory reporting experience is highly desirable.
* Excellent analytical skills with attention to detail and project management skills.
* Strong interpersonal and communication skills, able to work under pressure and cope with rapid business growth.
Estimated Salary Range: £60,000 - £80,000 per annum, depending on experience.