Overview

  • The individual performs an Advisory function within the Compliance team. The individual will have a broad range of responsibilities working with the business to mitigate regulatory risk, help maintain and develop a strong compliance culture, manage and implement regulatory reform.
  • You will provide a proactive and efficient compliance hands on advisory and oversight to the branch.
  • Implements and advises on adherence to regulations concerning MiFID, Conduct of Business, Market Abuse and any relevant regulatory change, particularly to the Commodities Trading desk.
  • Assist/co-ordinate with and support the Global Compliance function in the development of global policies as required and their implementation within the branch network and develop local procedures.

The Successful Individual:

  • Is able to act and decide independently within Compliance policies and regulatory requirements, whilst seeking guidance or input from management as necessary
  • Contribute to the design and implementation of certain aspect so the compliance staff training assist with co-ordination of management of the branch interest rate benchmark policies and procedures

Committee Roles

  • The individual may be required to sit on one or more of these committees:
  • LIBOR Submission Steering Committee (LSSC)
  • Benchmark Submission Steering Committee (BSSC)
  • Best Execution Committee
  • New Product Committee
  • Transaction Reporting Committee

Business Knowledge/ Technical Skills

  • 4-5 year market experience, product knowledge and basic working knowledge of relevant regulation around Commodity Derivatives trading
  • Basic knowledge of compliance in particular in a sales and trading environment, market abuse regulations and conduct of business standards
  • Able to demonstrate a practical and commercial approach to Compliance

Personal Attributes 

  • Takes a hands-on approach, is able to couple the ability to offer strategic and change orientated advice with more “day to day” compliance responsibilities
  • Strong communication skills – written and oral
  • Analytical and detail orientated

Professional Qualifications

 Diploma in Investment Compliance or similar qualification


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