FINANCIAL SERVICES RECRUITMENT

LONDON | NEW YORK

JOB SUMMARY

Compliance Analyst

My client is a Commodities broker providing execution and clearing services across a wide range of international markets and are looking for a Compliance Analyst.

JOB TEXT

Compliance Analyst
My client is a Commodities broker providing execution and clearing services across a wide range of international markets and are looking for a Compliance Analyst.

Key Responsibilities:
* Support Head of Compliance to maintain and develop the compliance policy structure and procedures.
* Undertake the daily compliance trade monitoring and surveillance requirements (primarily using an external system currently being put in place)
* Undertake the monitoring of other daily compliance requirements, including the best execution price checking and commission override exception report.
* Review reports, risk indicators and red flags to identify and propose remedial action to improve the control framework.
* Responsible for the submission to the exchanges, CCP's etc for client related information relating to Ownership & Control Reporting (OCR) , such as the COTR (LME), Form 102's to the CME, CFTC, ICE via the various on-line portals.
* Develop, implement and monitor regulatory compliance policies, procedures and internal controls.
* Implementing specific sections for the compliance monitoring plan.
* Take ownership and work closely with relevant departments and teams to ensure the compliance system's capabilities are enhanced and improved.
* Assist and distribute periodic reports for the Risk & Compliance committee (a sub-committee of the GFFM Board) and the Board.
* Assist with the documentation of regulatory reviews.
* Assist in the development and updating of the annual monitoring plan.
* Provide a day-to-day point of contact for Exchange and Clearing house compliance queries.
* Coordinate compliance, AML, Anti-bribery & Corruption and other training requirements to staff.
* Assist with maintaining the Compliance and Financial Crime Manual.
* Assist in regulatory reports filing such as SAR, STOR, Gabriel (non-financial submissions such as Close Links Report / Controllers Report / Financial Crime Report etc)
* Assist / prepare various submissions in the FCA Connect system, including Control Function roles (CF roles) and any other Variation of Permissions (VoP), passporting etc.
* Assist in the 2019 SMR (Senior Management Regime) implementation.
* Assist in annual attestation roll out (Fit & Proper / Significant Influence)
* Maintain regulatory logs, such as breaches, third party payments, gifts, complaints etc.
* Assist in any liaison with any queries from our competent authority (FCA)
* Keep up to date of all relevant regulatory changes in accordance with best market practice.
* Manage ad-hoc compliance related projects.
* Understanding of how to complete a second line compliance monitoring review.
* Knowledge on FCA Handbook, including Conduct of Business Sourcebook, Senior management arrangement, MAR, Mifid II
* Experience in Compliance with UK regulatory environment
* Experience on commodities exposure and NYMEX, ICE, LME are desirable, not essential
* Ability to demonstrate good verbal, organizational and communication skills.


Key Attributes:
* Good judgement, discretion and integrity.
* Good communication skills as well as excellent written English.
* Practical and pragmatic, attention to detail.
* Well organised and able to adopt, solution oriented, strong analytical skills.
* Able to remain focused under pressure.
* Able to build effective relationships with colleagues and different teams.
* Motivated, proactive and self-starting.

A DIFFERENT APPROACH TO HUMAN CAPITAL MANAGEMENT
FIND US ON LINKEDIN, TWITTER & INSTAGRAM
  • GBP30000.00 - GBP40000.00 per annum
  • Londres, Angleterre, Royaume-Uni
  • CDI, Plein-temps
  • Charles Levick
  • 2018-08-14
Londres, Angleterre, Royaume-Uni Londres Angleterre GB