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Compliance Manager

2 months ago

London, UK, United Kingdom Compliance Professionals Full time

THE COMPANY:


We have been exclusively instructed by our client is a leading global commodities organisation. With a global presence they offer a wide range of services to their clients. The position will assist with managing a small team and will be 4 days in the office.








THE RESPONSIBILITIES:


  • Consideration of all relevant statutory and regulatory provisions and particularly the rules of the FCA, LME and LME Clear, NFA and CFTC.
  • Consideration of all regulatory developments and guidance promulgated by the FCA and others regulatory bodies.
  • Ongoing enhancement and maintenance of the Compliance Monitoring Programme to ensure adherence to all applicable regulatory obligations.
  • Ongoing review and implementation of Compliance policies and procedures. Assisting with the reconciliation and review of all regulatory reporting requirements (EMIR/MIFIR etc.)
  • Assisting with all regulatory submissions and authorisations, including the SM&CR.
  • Consideration of all assistance provided by the FIA in connection with specimen ToB documentation, Netting Opinions, and general updates relevant to the Company’s business.
  • Providing supervisory oversight into the internal and external controls in connection with trading, LME Select, DEA (Direct Electronic Trading), the use of algorithms etc.
  • Surveillance of the Company’s trading activities in seeking to ensure that all trading by the Business and its clients is in strict conformance with its regulatory responsibilities including transaction and communication monitoring on various platforms.
  • Analysis of all relevant provisions in connection with AML and market abuse.
  • Assisting in the provision of relevant training to Company employees.
  • Maintenance of Client records and trading authorisations.
  • Assisting in the production of all relevant compliance MI/reports including periodic reports to the Board.
  • To represent the Company externally in meetings with the FCA, LME, FIA and other appropriate bodies.










EXPERIENCE REQUIRED:


  • The ideal candidate will have 6 years+ solid Compliance experience gained within a brokerage environment
  • Strong experience of commodity markets would be a distinct advantage.
  • Sound academic qualifications are essential, and a Compliance or Legal qualification is preferable.













For further information please contact Marcus Courtney