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OTC Compliance Manager, SMF
Job Posted: a day ago
Salary: £ Competitive
Job Type: Permanent
Location: City and County of the City of London
Expire in: a month
Job Description
Candidates must have a minimum of 7 years in compliance, ideally in commodities trading or financial services.
Our client, a financial institution, is seeking an OTC Compliance Manager, SMF to join their team on a permanent basis.
The successful candidate will oversee trading compliance, financial crime prevention and conduct across multiple jurisdictions.
Duties include (but not limited to):
• Ensure compliance with EMIR, MiFID II, MAR regarding derivatives, options, and OTC trades.
• Oversee transaction reporting and regulatory interactions.
• Monitor and manage interactions with brokers, Exchanges and Regulators.
• Maintain and evolve frameworks for AML, sanctions, anti-bribery/corruption and fraud.
• Liaise with legal teams and external bodies on investigations or breaches.
• Run global whistleblowing, investigations and remediation programs.
• Champion GDPR and global data privacy obligations, including cross-border data handling and counterparty due diligence.
• Collaborate with sustainability leads to align due diligence and reporting.
• Spearhead a compliance program globally, fostering a values-led, accountable culture.
• Report regularly to relevant committees.
• Deliver bespoke training covering all topics.
• Drafting policies, maintaining policies for regulatory evolution.
Skills & Experience:
• At least 7 years in compliance, ideally in commodities trading or financial services.
• Qualified lawyer (in any jurisdiction) with strong knowledge of derivatives.
• Working knowledge of financial crime law and data protection and who is familiar with AML/Sanctions/KYC Platform/LexisNexis Bridger.
For more information on this role please contact Judith Webb by sending your CV quoting ref 16897JWBefore You Apply
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