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Deputy Head of Compliance

8 months 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

**Location**:
London

Specialism:
AML,
Monitoring

**Salary**:
Up to £120,000+benefits

Type:
Permanent

Reference:
18844