Compliance Analyst

  • Salary: Up to GBP40000.00 per annum
  • Location: London, England, United Kingdom
  • Job Type: Full time
  • Company: JCW Search

Vacancy Details: Currently recruiting for a compliance analyst with experience in commodities to work within a brokerage firm in London. Title: Compliance Analyst Type: Permanent Salary: £40,000pa Location: London


  • Support Head of Compliance to maintain and develop the compliance policy structure and procedures.
  • Undertake the daily compliance trade monitoring and surveillance requirements (primarily using an external system currently being put in place)
  • Undertake the monitoring of other daily compliance requirements, including the best execution price checking and commission override exception report
  • Review reports, risk indicators and red flags to identify and propose remedial action to improve the control framework
  • Responsible for the submission to the exchanges, CCP's etc for client related information relating to Ownership & Control Reporting (OCR) , such as the COTR (LME), Form 102's to the CME, CFTC, ICE via the various on-line portals
  • Develop, implement and monitor regulatory compliance policies, procedures and internal controls
  • Implementing specific sections for the compliance monitoring plan
  • Take ownership and work closely with relevant departments and teams to ensure the compliance system's capabilities are enhanced and improved
  • Assist and distribute periodic reports for the Risk & Compliance committee (a sub-committee of the GFFM Board) and the Board
  • Assist with the documentation of regulatory reviews
  • Assist in the development and updating of the annual monitoring plan
  • Provide a day-to-day point of contact for Exchange and Clearing house compliance queries


  • Eligibility to work in the UK
  • Understanding of how to complete a second line compliance monitoring review
  • Knowledge on FCA Handbook, including Conduct of Business Sourcebook, Senior management arrangement, MAR, Mifid II
  • Experience in Compliance with UK regulatory environment
  • Experience on commodities exposure and NYMEX, ICE, LME are desirable, not essential
  • Ability to demonstrate good verbal, organizational and communication skills
  • Risk Management, Regulatory Compliance & Audit Recruitment
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