- 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
- 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
- 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
Diploma in Investment Compliance or similar qualification