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This is a senior position reporting directly to the CEO of the Company, your responsibilities include but are not limited to:
1) Providing support and advice to the Company on regulatory and compliance matters in relation to FCA and global exchanges; acting as the first point of contact for compliance issues relating to UK regulatory obligations
2) Keeping up-to-date with on-going regulatory changes and assisting in designing and implementing suitable processes and procedures to ensure on-going compliance with these
3) Ensuring that appropriate action is taken to address any deficiencies in the Company's compliance with its UK regulatory obligations, including raising awareness at management and Board level and making recommendations to the Board in respect of areas of weakness identified during routine monitoring or otherwise
4) Ensuring that the Company receives relevant on-going training on regulatory issues (including the application of compliance policies) which may have an impact in different business areas;
5) Driving the implementation of MiFID II project, CASS, CRS and SMR framework with assistance from other departments of the Company; and undertaking other special projects as and when required;
6)Ensuring that Compliance policies and procedures are updated to meet the needs of the firm's distribution teams and when regulatory changes arise
7) Carrying out the function of an approved person for the FCA;
The Ideal candidate would hold or have held the SMF 16/ 17
Have worked at an exchange, namely LME, ICE Europe or CME, if not then have have working in a derivatives broker with some experience in commodities
Broad regulatory compliance and AML experience
Able to work independently in a small company.
Internal Number: 7817109
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