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Insight Financial Recruitment Solutions
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London, Greater London
Compliance Manager
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Salary: Up to £85,000 per annum |
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Overview
An opportunity has arisen to work for an independent, established trader of physical oil and associated products. This commercially minded trader is inviting applications from Senior Compliance candidates, who at various points of their career, have had exposure to MIFID II, Credit and Operational Risk and can apply a legal mindset to both challenges and changing regulations. Position: Compliance Manager Reporting to: Chief Risk Officer or equivalent Based : London Role: Responsible for all compliance procedures, processes, monitoring and regulatory reporting functions in London, the US and, potentially, Asia, the role will encompass: Regulatory and Sanctions Implement and maintain policies, procedures, and compliance programmes as appropriate for all trading activities with respect to: - MiFID II, MAR, GDPR, EMIR, AML, Anti-bribery, FCPA and, if required Dodd-Frank Implement and maintain policies and procedures to ensure compliance with applicable UK, US and EU sanctions law and regulations. Provide advice to the business to support both existing and new business activity. Respond to regulatory inquiries and requests; liaise with regulators as required. Prepare and deliver effective Compliance and Sanctions training across the organisation. Oversight of regulatory controls, audits, filings and reporting. Be aware of and plan for regulatory changes impacting the firm. Project manage the implementation of new systems, processes and/or controls to meet regulatory requirements and enhance the compliance programme. Counterparty Due Diligence; On-boarding of all new counterparties. Ongoing updating of KYC documentation. Experience: At least 5 years of proven experience in trading or financial entities, including working in a compliance function within commodities-related business. Proven experience of: Commodities trading, preferably crude oil and refined oil products. MiFID II, EMIR and FCA rules. Monitoring and performing surveillance in commodity markets. Good communication and interpersonal skills in internal and external liaison. Having the ability to interpret and articulate in a concise and effective manner. CF10 (compliance oversight) and CF11 (MLRO) function responsibilities. Degree level or equivalent education and a specialisation in regulatory compliance would be an advantage. This job was originally posted as www.totaljobs.com/job/89961507