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Regulatory Compliance Expert
4 weeks ago
We are seeking an experienced Regulatory Compliance Expert to join our team at Compliance Professionals. This role will involve ensuring adherence to statutory and regulatory provisions, monitoring regulatory developments, and maintaining the Compliance Monitoring Programme.
Key Responsibilities- Ensure compliance with FCA, LME, LME Clear, NFA, and CFTC rules, regulations, and guidelines.
- Monitor regulatory updates and guidance from FCA and other relevant bodies.
- Maintain and enhance the Compliance Monitoring Programme to identify and mitigate risks.
- Develop and implement Compliance policies and procedures to ensure effective risk management.
- Assist with regulatory submissions, authorizations, and communications.
- Provide supervisory oversight into internal and external controls to ensure conformance with regulatory requirements.
- Analyze AML and market abuse provisions to ensure compliance.
- Deliver relevant training to employees on Compliance policies and procedures.
- Maintain accurate Client records and trading authorizations.
- Publish Compliance reports and represent the Company externally in a professional manner.
- 6+ years of Compliance experience in a brokerage environment.
- Strong commodity markets experience is an advantage.
- Sound academic qualifications, preferably with a Compliance or Legal qualification.
$120,000 - $180,000 per annum, depending on experience.
About UsCompliance Professionals is a leading global commodities organization that values excellence and professionalism in all aspects of its business.
