Compliance Analyst: Commodities
£55,000 - £65,000
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.