Senior compliance OfficerA commodity brokerage firm based in London are currently seeking a Senior compliance Officer to join their team. Reporting to General Counsel, the Senior compliance Officer will be responsible for all regulatory matters and compliance within this Group of Companies. Responsibilities for the Senior compliance Officer include but are not limited to:
Handling regulatory inquiries from FCA, CFTC, NFA, other foreign regulators and exchanges concerning, securities, commodities and derivatives trading and compliance issues Responding to the NFA and other regulators during audits of the firm Administer the company’s compliance program Drafting and implementing firm policies Regulatory approvals for new and existing hires Performing monitoring tasks, including desk reviews Carrying out AML monitoring and assisting with the design and development of relevant AML reports Assisting in the development and delivery of compliance training programs Collaborate with other control functions and the Legal department Prepare and update compliance report.
SKILLS and COMPETENCIESThe ideal candidate will possess the following skills and competencies:
Analytical and problem solving skills with excellent attention to detail Must be able to work independently, multi-task and prioritise effectively Ability to develop compliance solutions that satisfy relevant regulations while executing sound business judgement Excellent written and verbal communication skills Ability to work under tight deadlines while maintaining accuracy and minimising risk Strong Microsoft Office skills.
Qualifications
Bachelor’s Degree required (Business related and/or professional legal or finance qualification)JD, compliance qualification or securities license preferred Several years in compliance or regulation with a good knowledge of FCA/CFTC/NFA compliance programs required experience working in compliance at a brokerage or trading firm preferredCF10 registration and Series 3 licence will be an advantage.
About the Company"We are a commodity brokerage firm providing brokerage services across the globe in biofuels, energy and agricultural markets. Operating from the commodity capitals of the world we offer commercial and financial customers’ brokerage services in physical and financial exchange-cleared energy derivatives, as well as over-the counter commodities."How to Apply Please attach an up to date copy of your CV to the link provided. This advert is being managed by Partners of Research Ltd. Trading as Hiring People. Your details will be passed onto our client. In some cases, where our client is acting on behalf of another employer, your details will also be passed onto them. We expect our clients to hold your data in a responsible fashion, but ultimately have no control. Partners of Research Ltd and/or our client may contact you confirming receipt of your application. Your data will be located on servers both within and outside the EU.