Compliance/Legal

Reporting to the compliance director the purpose of the role will be to assist in ensuring the company conducts its business in compliance with the FCA, the Rules and Regulations of each relevant Exchange and Clearing House and all legislation relating to the conducting of Investment Business, with a specific focus on the legal requests.

Main Duties;

Assist in handling in-house/external proceedings for Recovery, Litigation, Bankruptcy together with the negotiation of legally enforceable contractual documentation agreements.
Responsible for the drafting of legal documentation and framework agreements
Preparing legal and compliance management reports for presentation to the Board
Assist the Compliance Director in supervising litigation matters including writing letters before action, instructing lawyers to take court action, registering judgements and taking enforcement action.
Assist in notifying the FCA of all events as required by the rules and ensure that all Returns/Submissions of a compliance nature are submitted on time
Communicate with FCA and Exchange compliance functions and develop a good working relationship
Assist in co-ordinating FCA, Exchange and Clearing House visits.

The successful candidate will require the following:

 

Degree in Law and application within a derivatives environment

Ongoing training in Money Laundering Verification Procedures

Previous/current experience in a compliance/brokerage environment

Managerial experience - Desirable

 

September 25, 2013 • Tags:  • Posted in: Financial

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