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This role is to hold the SMF16 & SMF17 function within a Global Commodity Trading house so prior experience holding these functions and a background within Commodities is essential.
Providing support and advice to the Company on regulatory and compliance matters in relation to FCA and global commodities exchanges particularly LME, ICE Europe, CME;
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;
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;
Responsible for FCA applications including approved persons and variation of permissions;
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;
Driving the implementation of MiFID, CASS, CRS and SMR framework with assistance from other departments of the Company;
Leading the implementation of all regulatory reporting for the Company with assistance from other departments of the Company;
Ensuring that Compliance policies and procedures are updated to meet the needs of the firm's distribution teams and when regulatory changes arise; and
Carrying out the function of CF10/CF11 for the FCA;
Skills and Experience Requirements:
Relevant academic background with minimum 5 years of relevant experience in compliance or compliance audit and has been registered with FCA as the Compliance Officer/MLRO.
Good understanding of FCA and EMIR regulations. Certain understanding of HK SFC and CFTC regulations is an advantage;
Prior experience in implementing Mifid2, AML,CRS/FATCA & CAS;
Good understanding of listed derivatives trading and clearing business in ICE, LME and CME;
Possess strong interpersonal and communication skills within the Company and across the Group;
Proactive, hands-on and able to work independently;
Prior working experience in reporting to the Board or being part of the Board;
A high level of IT literacy with good Excel and Word skills.