Compliance Analyst

Company Overview: OTC Global Holdings includes a portfolio of some of the over-the-counter industry’s most powerful and agile independent brokers. By pulling together these power brokers, OTC Global is able to offer unparalleled liquidity and market intelligence, driving ever-greater efficiencies through value-added brokerage services for its Global Fortune 500 and other institutional clientele.OTC was formed in 2007 and has grown to become a leading broker of commodities, covering financial and physical instruments globally. Strategically positioned worldwide. London and Houston shine as the primary epicenters, joined by New York, Chicago, Louisville, Singapore, and Dubai.More info can be found here: ABOUT US – OTC Global HoldingsThis is a key role at OTC Europe, a growing Commodities Brokerage firm based in London. The role requires a range of compliance skills and knowledge, the ability to manage priorities and to quickly become familiar with new compliance requirements.The role involves but is not limited to:Trade and other monitoring, in conjunction with the Ops team, to support compliance with the firm’s regulatory monitoring requirements.Assisting with the review of late trade reports and follow-up as appropriateMonitoring of trades (audit trails)Communications monitoringAssisting with regulatory/exchange enquiries/information requests (ICE and CME).Assisting with conducting regulatory certification / registration processes in compliance with UK (SM&CR) and US requirements.Assisting with the maintenance of all relevant compliance registers, records, and files.Assist with the implementation of the new communications monitoring system.Assisting with the firm’s training programme.Additional ad hoc projects and work as requested by the Senior Compliance Officer or Senior ManagementCandidate Requirements: 1 year’s compliance experience in the financial services industry, preferably within an institutional brokerage environmentAn understanding of commodity derivative productsKnowledge of ICE and CME rules is an advantageKnowledge and understanding of the FCA rulesStrong communication skills, both written and verbalStrong interpersonal skills and a positive ‘can-do’ attitudeGood time management and prioritization skillsStrong analytical skills