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Compliance Manager - Commodities, London
Client: Compliance Professionals
Location: London, United Kingdom
Job Category: Other
EU work permit required: Yes
Job Views: 4
Posted: 28.04.2025
Expiry Date: 12.06.2025
Job Description:
THE COMPANY:
Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets.
THE RESPONSIBILITIES:
* Act as the compliance specialist in project teams for complex regulatory implementations, e.g., Mifir/EMIR reporting requirements.
* Support and guide the team in implementing and managing the compliance risk-based monitoring plan, ensuring timely completion and relevance.
* Support business lines with recommendations on monitoring report findings and track actions to completion.
* Respond to strategic issues, advising management on proactive regulatory control actions.
* Provide accurate management information reporting.
* Offer timely front office advice and sign-off on trading and regulatory issues.
* Support the Compliance team as a primary point of contact for business units.
* Review policies and procedures for currency and relevance.
* Lead employee compliance training, including inductions and refreshers.
* Implement and oversee the SMCR certification process and related frameworks.
* Maintain and update KYC policies and procedures, including system changes.
* Manage compliance registers (e.g., gifts & entertainment, PA dealing, online training, outside interests, declarations).
* Complete FCA SMF applications and regulatory returns.
* Support the Compliance team as appropriate.
* Design and deliver compliance training programs.
EXPERIENCE REQUIRED:
* Practical knowledge of the commodities derivative market, especially base metals.
* Strong understanding of LME regulatory requirements.
* Practical understanding of OTC commodity and FX markets.
* Knowledge of EMIR, MiFID2, SMCR, IFPR, and familiarity with Dodd-Frank.
* Understanding of due diligence rules for corporate entities, including JMLSG, FATF, EU Money Laundering Directives, and FCA.
* Extensive experience applying FCA rules like COBS, SYSC, MAR, and SUP.
For further information, please contact Hannah Tabatabai.
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