- Providing support to compliance analysts in carrying out day to day tasks.
- Developing and enhancing control systems in order to improve efficiency and to prevent rule, regulatory, or internal policy violations.
- Taking ownership of specific compliance projects such as investigations, risk assessments and ad-hoc inquiries.
- Providing a high standard of compliance advice to colleagues and other stakeholders on a day to day basis.
- Escalation of relevant matters to the UK and Global head of compliance.
- FICC markets trading floor/ divisional compliance experience in an FCA regulated investment firm is essential.
- Previous experience of managing staff is essential.
- Commodities experience is highly desirable.
- The Successful candidate will have excellent communication and leadership skills.
- The candidate must have spent time running compliance monitoring and assurance reviews and risk assessments.
- ICE Europe and LME knowledge as well as other regulatory requirements of commodities trading ventures is required.
- Practical application of the FCA Handbook including: Conduct of Business Sourcebook, Market Conduct, Senior Management Arrangements, Systems and Controls, as well as key EU legislation such as MiFID II (including familiarity with MiFID based Client Classification and Client information disclosure), MAD/MAR and EMIR
- Customer Due Diligence rules such as JMLSG, FATF, and FCA.
Candidates who do not possess experience managing people in an FCA regulated Investment firm and who do not have FICC markets trading floor/ divisional compliance experience sadly cannot be considered for this role.
This is an exciting opportunity for seasoned compliance managers looking for the next challenge.Next step
- For more information on this role or to discuss other opportunities in financial services please contact Ellen Mulvey at firstname.lastname@example.org