Deputy Head of Compliance

2 weeks ago

London, United Kingdom Compliance Professionals Full time

THE COMPANY: We are working with a regular client of ours who are searching for a Deputy Head of Compliance & Deputy MLRO. The client are a commodities broker in the City close to Liverpool Street. You will Support the Head of Compliance/MLRO to deliver second line oversight of company’s activities to ensure the business operates within its regulatory permissions/applicable regulation & build and maintain a strong compliance framework and culture. THE RESPONSIBILITIES:

  • Assist in the identification of regulatory/reputational risk and in the development, implementation, monitoring and maintenance of applicable policies, procedures and internal controls to maintain a strong compliance framework with a view to managing/mitigating compliance risk;
  • Oversee the trade monitoring function undertaken by the Compliance Team; support the Compliance Team in the escalation/resolution of issues as they arise and the enhancement of monitoring tools/processes;
  • Review reports, risk indicators and red flags to identify and propose remedial action to improve the control framework.
  • Undertake daily compliance monitoring (as applicable) including the best execution price check and commission override exceptions report;
  • Deliver on-going support to the business including advice on exchange rules, regulation and internal policies/procedures;
  • Ensure the timely identification of regulatory change, assess the impact on the business, revise/implement applicable policies/procedures as necessary;
  • Responsible for the submission to the exchanges, CCPs 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;
  • Assist in the documentation of regulatory reviews and updating of the Compliance Monitoring Plan;
  • Assist with the maintenance of the Compliance and Financial Crime Manual;
  • Assist in the submission of regulatory report filings and surveys;
  • Assist in the annual attestation roll out (Fit & Proper / Significant Influence/SMCR);
  • Maintain regulatory logs, such as breaches, third party payments, gifts, complaints etc.;
  • Assist in liaising with any queries from the NCA;
EXPERIENCE REQUIRED:
  • Strong knowledge of UK/EU regulatory framework
  • Strong knowledge of AML/CTF processes, trading, Market Abuse Regulation and Surveillance
  • Strong knowledge of Wholesale Commodities Markets (LME, ICE, SGX, HKFE, CME) Rules and Regulations
  • Experience in liaising with Regulators, Exchanges and Market Operators
For further information please contact Jordan White #J-18808-Ljbffr

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