Compliance Analyst Compliance Analyst …

Barclay Simpson
in London, United Kingdom
Permanent, Full time
Last application, 25 Nov 20
60000
Barclay Simpson
in London, United Kingdom
Permanent, Full time
Last application, 25 Nov 20
60000
Posted by:
Nick Evans • Recruiter
Barclay Simpson
Posted by:
Nick Evans
Recruiter
My client is looking for a compliance analyst to join the team. You must have markets trading compliance exposure/understanding, ideally LME

Compliance Analyst: Commodities

£55,000 - £65,000

London/home

My client is a member of the LME. They are looking to hire a regulatory compliance officer to join their small team reporting directly to the head of compliance.

1)  - Consideration of all relevant statutory and regulatory provisions and particularly the rules of the FCA, LME and LMEClear;

2)  - Considering all European Regulatory developments and guidance promulgated by ESMA;

3)  - Assisting with all FCA reports and authorisations, together with the SMCR;

4)  - Consideration of all assistance provided by the FIA in connection with specimen ToB documentation, Netting Opinions and general updates relevant to the Company’s business;

5)  - Dealing with internal and external controls in connection with trading, LMESelect, DEA, the use of algorithms etc;

6)  - Assisting with the surveillance of the Company’s trading activities in seeking to ensure that all trading by AMT and its clients is in strict conformance with its regulatory responsibilities;

7)  - Analysis of all relevant provisions in connection with AML and market abuse;

8)  - Assisting in the provision of relevant training to Company employees;

9)  - Maintenance of Client records, spreadsheets and trading authorisations;

10) - Maintenance of the Company’s Compliance and Procedures’ Manual;

11) - Assisting in the production of all relevant compliance reports.

Preference will be given to individuals with experience of working in the LME, or at least a commodities/futures and options environment.  Expertise in the majority of the above areas ideal.

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