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This firm trades in commodity and treasury products and they looking for a knowledgeable Compliance professional to take an advisory role to identify, assess, monitor and manage compliance risks and requirements applicable to the business.
This is an excellent role for an experienced compliance professional with experience of, or desire to; work in a commodity trading environment.
Your responsibilities will inc lude:
* Advising and monitoring relevant FSA rules in relation to financial promotions, inside information, insider lists, listing rules, conflicts of interests
* Advising business on marketing financial products into new jurisdictions and furthermore monitoring whether the advice/ conditions have been followed;
* Advising business on ABC and AML when entering into jurisdictions with low TI scores and adding that to the AML monitoring programme;
* Monitor developments and review new regulatory requirements and proposals and assist with implementations of changes into respective Business Unit
* Monitoring activity on exchanges to ensure alignment with Exchange rules and expectations;
* Undertake other reviews such as AML monitoring, post-implementation reviews, desk reviews and bench profiles etc as required.
* Keep abreast of regulatory developments and good practice, and share information as appropriate to enhance the quality of the compliance programme
Key Skills/Experience Required:
- Sound knowledge of the FSA compliance and ABC and AML is essential for the role. Exposure and knowledge of the regulatory change is advantageous
- Previous experience in monitoring/surveillance and trade floor advisory
- Previous experience in a compliance role supporting commodity trading is advantageous
- Knowledge of treasury products (FX/fixed income/money markets) advantageous
- Knowledge and experience of origination is advantageous
Salary: £70 - £90k
If you are an experienced compliance professional with a good understanding of treasury and/or commodity products, and wish to work for one of the top commodity trading firms globally; please send your CV to me for consideration.
To find out more about Real please visit www.realstaffing.com