Compliance Analyst – Commodities Compliance Experience Required
Our client, a London-based commodities broker, are looking to recruit a Compliance Analyst to join their team. Reporting to the Head of Compliance, duties will include:
• Review, analyse and implement into procedures and business practices relevant rules and regulations affecting the company
• Investigation of daily alerts produced by the firm’s automated market abuse monitoring and surveillance system, where necessary
• Review of business activities, as well as surveillance of business transactions and communications, to identify potential issues, early patterns of improper behaviour, material or systemic weaknesses and potential product-related problems
• Reviewing market research, commentaries, presentations etc. for Compliance oversight
• Conduct training and education programs to keep employees apprised of new rules and regulations, policies and procedures and regulatory events on an as-needed basis
• To assist management in the development and writing of policies procedures and guidelines designed to facilitate compliance with applicable laws and regulations and improvement in the firm’s internal controls
• Liaise with regulators and exchanges to comply with rules of the regulatory regimes and responding to regulatory enquiries
• On-board customers in line with the firm’s Customer Due Diligence (CDD) requirements
The ideal candidate will be a graduate and have several years of regulatory experience in a broker or banking environment with some experience of Commodity markets transactions. You will have a very good understanding of specific rules & regulations related to the industry including, MiFID 2, MAR, SMCR, 4th MLD and the FCA handbook.
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at email@example.com
Compliance Recruitment Solutions Limited (CRS) are acting as an employment agency in relation to this role.
The recruiter has stated that all applicants for this job should be able to prove that they are legally entitled to work in the UK. Through application, all candidates signify their acceptance of the above information and confirm that the information they provide is true and accurate to the best of their knowledge.