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Job Specification

Compliance Manager – Derivative Trading (In-House, Consultancy or Exchange/Regulator) Experience Required

£60K – £70K + Bonus + Benefits | City
Ref: 3373J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Anti Money Laundering (inc CDD/KYC) / Permanent

Our Client, a derivatives trader, are looking to hire a Compliance Manager for their London Office.  Duties will include:
• Review and maintain risk matrix systems to accurately map clients profiles to risk categories for ongoing risk monitoring and assessment
• Updating, maintaining and enhancing the firm’s compliance monitoring program, policies & procedures and compliance manual as and when necessary
• Transaction reporting, including MiFID, EMIR & CTFC
• Key liaison with regulators and auditors on regulatory returns
• Review and approve financial promotions or marketing materials
• Internal surveillance and conduct investigation of compliance issues/alleged breaches
• Administer compliance training to staff
The ideal candidate will be degree educated with a minimum of 2-3 years compliance experience of derivatives trading, whether from a similar in-house role, a consultancy or an exchange/regulator.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at

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