Advisory compliance officer

My client is a leader in banking and financial services, employing over 200,000 people across 80 countries and 5 continents. They are looking for an experienced Compliance Advisory Interim with a strong commodities background to join their Markets compliance team.
Markets Compliance provides support to the London Commodity Derivatives business with a focus on the Commodity Futures Limited (CFL) entity undertaking Listed Derivative business on behalf of the firm and its clients. Also, as required, providing Compliance support to the client offering of the Fixed Income and EQD listed derivative businesses in the UK.

Key Responsibilities;

o Provide day to day support for the CFL business from an advisory compliance perspective based on the trading floor
o Dealing with and answering regulatory and exchange trading related questions that arise from the business
o Provide advice on compliance issues related to transactions, products or business of the Commodities Derivatives business in London
o Contribute to the new activity / transaction approval committees as necessary
o Contribute to the relationship with local Regulators in support of the Head of UK Compliance and the CFL Compliance Officer
o Advise the business on the impact of exchange rules and regulatory changes
o Contribute to the definition and implementation of monitoring procedures to identify actual or potential market abuse scenarios, insider dealing activities, conflicts of interest and other compliance risks
o Contribute to the design and delivery of compliance training for the CD, Fixed Income and EQD listed derivative businesses.

Experience Required;

o Experience of working in the Compliance department of a major investment bank preferable
o Knowledge of the rules, regulation and functioning of the major Global Commodities exchanges e.g. ICE, CME, LME etc, is essential. Experience of others including LIFFE and EUREX preferable but not essential
o Prior experience of providing compliance coverage to a DMA/Futures execution type business preferable
o Experience of handling exchange enquiries and audits essential
o Experience of current regulatory environment and regulatory change i.e. Dodd Frank, MiFID, EMIR etc. essential
If you think you have the skills required for this role please apply and get in touch with Adam Jones using the details provided.

March 26, 2014 • Tags:  • Posted in: Financial

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