Compliance Officer - Commodity Derivatives

Alexander Lloyd
United Kingdom
30 Sep 2017
03 Nov 2017
Contract Type
Full Time

Alexander Lloyd are working with an industry leading Commodity Futures firm in London who are on the look out for their next Compliance Officer.

This role is perfect for someone who is looking to accelerate their career within Commodities and receive full support from Management to assist with and put you through professional qualifications to eventually progress towards taking over the Controlled Functions within the Business.

Key Responsililities:

  • Review and maintain risk matrix and systems to accurately map clients' profiles to risk categories for ongoing risk monitoring
  • Updating, maintaining and enhancing the firm's compliance monitoring program, policies & procedures and compliance manual as and when
  • Transaction reporting (MiFID, EMIR, CFTC).
  • Internal surveillance and conduct investigation of compliance issues/alleged
  • Submit new applications to FCA and NFA and maintain current AP
  • Key liaison with regulators and auditors on regulatory returns, certifications,
  • examinations, applications and notifications, etc…
  • Impact analysis of new business initiatives and driving the development of relevant compliance policies and
  • Review and approve financial promotions or marketing
  • Horizon scan and analyse potential impact of regulatory trends and developments to ensure the Firm is compliant with any new regulatory
  • Approve KYC checks for new customers, reviewing existing files for accuracy and completeness.
  • Work with the finance function to prepare and approve regulatory returns to the FCA and
  • Provision of management information to the Board and Risk
  • Administer compliance training to staff such as AML and anti-bribery / corruption

The ideal person:

  • Will have a minimum 2-3 years' experience in a similar position within a financial institution.
  • Show initiative, be self-motivated and have a proactive attitude.

Competative salary and benefits package

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