Do you have a sound understanding of commodity derivatives, exchange rules and regulatory framework? Have you managed compliance programs under NFA and FCA regulations and dealt with regulatory investigations?
If so, and you would like to work for a business that has a firm grasp on building a low carbon future, then this role may be for you.
We are currently seeking someone who is passionate about compliance and has the experience to join a Global team based out of their HQ in London. Reporting to the Chief Financial Officer, the ideal candidate will be responsible for all regulatory matters and compliance within the group of companies which stretches across 3 different continents.Key Responsibilities of the Senior Compliance Officer:
Senior Compliance Officer requirements:
- Handling regulatory inquiries
- Experience gained with the FCA, CFTC & NFA, other foreign regulators and exchanges
- Experience gained in securities, commodities and derivatives trading and particularly regarding compliance issues
- Primary POC for the NFA and other regulators during audits
- Administration of the company's compliance program
- Drafting and implementing company-wide policies
- Regulatory approvals for new and existing hires
- Performing monitoring tasks, including desk reviews
- Carrying out AML monitoring and assisting with the design and development of relevant AML reports
- Assisting in the development and delivery of compliance training programs
- Collaboration with other control functions and the Legal department
- Prepare and update the compliance report
- Ability to work independently, multi-task and prioritise effectively
- Excellent attention to detail
- Ability to work under tight deadlines while maintaining accuracy and minimising risk
- Several years in compliance or regulation with good, recent working knowledge of FCA and NFA compliance programs
- Experience working in compliance at a brokerage, commodities house or trading firm
- At least university degree educated
If this looks like the right opportunity for you then please make contact ASAP.