Compliance Manager – Metals Market | London (5 days a week, office-based)

Join a specialist London-based broker with a strong presence on the LME, where you’ll play a central role in shaping and running the firm’s compliance and financial crime framework. Working in a small, collaborative team, this is a broad and hands-on role – ideal for someone who enjoys being close to the business, influencing decisions, and acting as a true compliance partner rather than just a policy gatekeeper.

You’ll support the Head of Compliance & MLRO and take ownership of day-to-day compliance operations, ensuring the firm meets its regulatory obligations across trading, advisory, monitoring, and financial crime.

As Compliance Manager (and DMLRO), you will be the first point of contact for compliance queries from the front office and wider business, providing clear, practical guidance across LME, NYMEX, COMEX, ICE and broader OTC commodity and FX activity. You’ll help build and maintain the firm’s compliance infrastructure, contribute to regulatory projects, and oversee compliance controls, training, and policies.

Key responsibilities include:

• Acting as a trusted adviser to the business on regulatory, trading and financial crime matters

• Supporting the Head of Compliance with SMCR, EMIR, MiFID2, IFPR, MAR and FCA regulatory requirements

• Managing and developing compliance frameworks, policies and procedures

• Leading compliance training and managing compliance registers, reporting and regulatory filings

• Overseeing monitoring actions and ensuring they’re tracked through to completion

• Supporting regulatory change and contributing to broader compliance-driven projects

• Acting as DMLRO and supporting financial crime oversight (AML/KYC, sanctions, due diligence)

We’re looking for someone who has:

• Strong working knowledge of the commodities derivatives markets – especially base metals and energy

• Hands-on compliance experience within an LME environment or similar broker/trading firm

• Good understanding of regulatory frameworks – EMIR, MiFID2, SMCR, IFPR, Dodd-Frank

• Strong FCA rules knowledge – COBS, SYSC, MAR, and SUP

• Proven experience delivering practical compliance solutions in a commercial, trading-led environment

This would suit someone who enjoys the breadth of working in a small team – the kind of role where you’re involved in everything, from advisory and oversight to training, reporting, policy development and project work. You won’t be dealing with layers of bureaucracy – just meaningful work, strong collaboration, and a chance to build something.

Office-based: 5 days a week – London

Paying £90,000 pa to £110,000 pa