Compliance Officer recruitment
Operating within a small team, an opportunity has arisen for a Compliance Officer to take on responsibility for the full scope of the client's compliance and regulation.
Key responsibilities include but are not restricted to:
Represent the client to the FSA, monitoring the client's adherence to FSA rules and amending internal policy as appropriate
Ensuring that the firm's client take on procedures are properly carried out
Ensuring that the firm's financial promotions comply with the FSA rules and that the firm's procedures are properly implemented
Obtaining pre-approval from FSA for clearance events and making pre- and post- notifications to FSA of notification events, within the prescribed deadlines and in the prescribed manner
Acting on complaints according to FSA's Dispute Resolution Manual (DISP) requirements
Maintaining the breaches register, the complaints register, the financial promotions register, the gifts and entertainment register, as well as Approved Persons records and Training and Competence records
Implementing recommendations of auditors and external consultants
Reporting to the Chief Executive and/or governing body on compliance issues
Monitoring and recording Suspicious Transactions under the market abuse regime in the Market Abuse Suspicious Transactions Register
The ideal candidate will have at least three to five years experience in a generalist compliance role, alongside a thorough knowledge and understanding of commodity trading and exposure to front office systems and activities. The candidate should have the gravitas to hold a stand alone position and take on all-round compliance responsibility for the client. This is a fantastic opportunity for any candidate hoping to use their compliance knowledge and experience in a new, challenging environment.
Our client is a boutique brokerage based in the City, providing clearing services, financial and energy futures and options alongside trade facilitation in a number of commodities. The London office is responsible for commodity brokerage and financial futures trading.
Where specific UK qualifications are required we will take into account overseas equivalents. All third party applications will be forwarded to Michael Page.