Compliance Analyst Compliance Analyst …

Barclay Simpson
in London, Vereinigtes Königreich
Festanstellung, Vollzeit
Letzte Bewerbung, 23 Nov 20
60000
Barclay Simpson
in London, Vereinigtes Königreich
Festanstellung, Vollzeit
Letzte Bewerbung, 23 Nov 20
60000
Gepostet von:
Nick Evans • Recruiter
Barclay Simpson
Gepostet von:
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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