Senior Compliance Officer - Office based role

Compliance Professionals; Greater London; Vor Ort; GBP 90.000 - 120.000; Vollzeit

Zusammenfassung

Compliance Professionals is seeking a compliance specialist to join its project teams, focusing on regulatory-driven implementations such as MiFIR/EMIR reporting.

The role involves guiding the monitoring plan, reporting management information, and providing timely front-office regulatory advice, with responsibility for SMCR certification processes and training. A solid understanding of FCA rules is essential.

Qualifikationen

• Deep understanding of commodities derivatives markets and regulatory frameworks.
• Experience applying FCA rules including CO BS, SYSC, MAR and SUP.

Aufgaben

• Act as compliance specialist in project teams for regulatory implementations (e.g. MiFIR/EMIR reporting).
• Support and guide management with monitoring plans to ensure timely, risk-based compliance activities.
• Provide concise management information reporting and front-office regulatory guidance.
• Lead on compliance training, SMCR certification processes and related frameworks.
• Review and update policies and procedures to remain current.

Kenntnisse

Regulatory compliance

Derivatives market knowledge

EMIR/MiFID2 expertise

FCA rules and SYSC knowledge

Jobbeschreibung

Our client is a leading provider of execution and clearing services for exchange traded derivatives and OTC derivatives in the commodities markets.

THE RESPONSIBILITIES:

• To act as the compliance specialist in the project team(s) for the more complex regulatory driven implementations, e.g. Mifir/EMIR reporting requirements
• To support and guide the team with the implementation and management of the compliance risk based monitoring plan, to ensure the monitoring tasks are completed in a timely manner and that the plan remains risk based and fit for purpose.
• Where recommendations are made on the monitoring report findings, to support and guide the business lines with implementation of solutions and ensure actions are tracked to completion.
• To respond to requests on current and planned strategic issues and to advise Management on proactive regulatory control action recommendations.
• To provide accurate and concise management information reporting.
• To provide timely front office advice and sign off on trading and regulatory issues
• Review policies and procedures to ensure they are current and up to date.
• To take the lead on employee compliance related training, including inductions, product education and periodic refreshers.
• Responsible for the implementation of the SMCR certification process and its all related framework
• Managing of the standard compliance registers – including but not limited to gifts & entertainment, PA dealing, on line training, outside business interests, annual declarations.
• To provide support to the Compliance team as is deemed reasonable and appropriate for the job role.
• To design and deliver compliance training

EXPERIENCE REQUIRED:

• The role requires an individual with a thorough practical knowledge of the commodities derivative market, and (ideally) physical precious metals market.
• Strong knowledge of the regulatory requirements of LME.
• Practical understanding of the OTC commodity and FX markets
• Strong knowledge of EMIR,MiFID2, SMCR, IFPR and familiar with Dodd Frank
• Extensive experience in the practical application of FCA rules including Conduct of Business Sourcebook (COBS), Senior Management Arrangements, Systems and Controls (SYSC), Market Conduct (MAR) and Supervision (SUP).

For further information please contact Hannah Tabatabai