To provide Compliance advice and guidance to the Commodities business and other relevant functions within the London offices of our Client on regulatory and compliance matters.The Compliance Department deals with a wide range of products, markets, jurisdictions and regulatory issues on a day to day basis.
• Provide advice, guidance and support to the Commodities business in complying with prevailing regulations and managing regulatory risk, global compliance standards and internal compliance policies and procedures.
• To monitor changing regulatory standard and business initiatives to ensure the effectiveness of the control framework.
• Provide advice on the implementation of new control frameworks and the enhancement of existing controls.
Preferred Qualifications and Experience
• Degree qualified/ professional qualification.
• Prior of working in a compliance advisory capacity within a commodities sales and trading environment.
• Experience of emerging markets compliance.
• Experience of interaction with regulators, exchanges and industry bodies.
Knowledge, technical skills and expertise
• Solid understanding of Commodities products and markets, and the associated regulatory frameworks.
• Good knowledge of the LME, CME, ICEFE and other commodity exchange rules and practices, across different product classes.
• Understanding of relevant FCA rules, including the Market Abuse regime and recent UK and EU regulatory developments (e.g. MiFID II, EBR, MAR etc.).
• Ability to analyse and interpret regulations and knowledge of upcoming regulatory developments impacting the commodities sector.
• Ability to identify and manage the regulatory risks associated with specific transactions and the business as a whole.
• An understanding of IT systems (e.g. electronic trading systems, BO systems) and processes employed in a front to back-office environment.
• Strong communicator at all levels (internal and external)
• Sustained commitment to engagement and ownership
• Ability to deliver work under pressure
• High level of integrity
• Ability to work independently
• Ability to navigate complexity and ambiguity
• Flexible, adaptable, pro-active.
The role would suit someone who has:
• Strong stakeholder management skills
• Decision-making skills
• Presentation, communication and consultation skills
• Investigatory skills and analytical ability
• Change management skills
• Drafting and report writing skills