Senior Compliance Officer; temp – Office based

THE COMPANY:

Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets.

• To act as the compliance specialist in the project team(s) for the more complex regulatory driven implementations, e.g. Mifir/EMIR reporting requirements
• To support and guide the team with the implementation and management of the compliance risk based monitoring plan, to ensure the monitoring tasks are completed in a timely manner and that the plan remains risk based and fit for purpose.
• Where recommendations are made on the monitoring report findings, to support and guide the business lines with implementation of solutions and ensure actions are tracked to completion.
• To respond to requests on current and planned strategic issues and to advise Management on proactive regulatory control action recommendations.
• To provide accurate and concise management information reporting.
• To provide timely front office advice and sign off on trading and regulatory issues
• Review policies and procedures to ensure they are current and up to date.
• To take the lead on employee compliance related training, including inductions, product education and periodic refreshers.
• Responsible for the implementation of the SMCR certification process and its all related framework
• Managing of the standard compliance registers – including but not limited to gifts & entertainment, PA dealing, on line training, outside business interests, annual declarations.
• To provide support to the Compliance team as is deemed reasonable and appropriate for the job role.
• To design and deliver compliance training

• The role requires an individual with a thorough practical knowledge of the commodities derivative market, and (ideally) physical precious metals market.
• Strong knowledge of the regulatory requirements of LME.
• Practical understanding of the OTC commodity and FX markets
• Strong knowledge of EMIR,MiFID2, SMCR, IFPR and familiar with Dodd Frank
• Extensive experience in the practical application of FCA rules including Conduct of Business Source book (COBS), Senior Management Arrangements, Systems and Controls (SYSC), Market Conduct (MAR) and Supervision (SUP).