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Compliance Analyst – Commodities Compliance Experience Required

£45K - £55K + Bens | London
Ref: 3371J

UK & Ireland / Compliance (inc Conduct Risk/COBS) / Permanent

 
 
Our client, a London-based commodities broker, are looking to recruit a Compliance Analyst to join their team.  Reporting to the Head of Compliance, duties will include:
 
• Review, analyse and implement into procedures and business practices relevant rules and regulations affecting the company
• Investigation of daily alerts produced by the firm’s automated market abuse monitoring and surveillance system, where necessary
• Review of business activities, as well as surveillance of business transactions and communications, to identify potential issues, early patterns of improper behaviour, material or systemic weaknesses and potential product-related problems
• Reviewing market research, commentaries, presentations etc. for Compliance oversight
• Conduct training and education programs to keep employees apprised of new rules and regulations, policies and procedures and regulatory events on an as-needed basis
• To assist management in the development and writing of policies procedures and guidelines designed to facilitate compliance with applicable laws and regulations and improvement in the firm’s internal controls
• Liaise with regulators and exchanges to comply with rules of the regulatory regimes and responding to regulatory enquiries
• On-board customers in line with the firm’s Customer Due Diligence (CDD) requirements
 
The ideal candidate will be a graduate and have several years of regulatory experience in a broker or banking environment with some experience of Commodity markets transactions. You will have a very good understanding of specific rules & regulations related to the industry including, MiFID 2, MAR, SMCR, 4th MLD and the FCA handbook.
 
For further information or a confidential no obligation discussion, please feel free to call Darren Ruskin on 020 7330 6961 or send your details to him at darren@compliancerecruitment.com
                                                          

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