Compliance Analyst Compliance Analyst …

Compliance Professionals
in London, United Kingdom
Permanent, Full time, Hybrid
Last application, 14 Jan 22
£45,000 - £65,000
Compliance Professionals
in London, United Kingdom
Permanent, Full time, Hybrid
Last application, 14 Jan 22
£45,000 - £65,000
Posted by:
Marcus Courtney • Recruiter
Posted by:
Marcus Courtney
Recruiter
Our client is an international brokerage firm which trades, distributes and manufactures metals, metal products and construction materials.

THE RESPONSIBILITIES:

  • Assisting with the surveillance of the Company’s trading activities in seeking to ensure that all trading by the Business and its clients is in strict conformance with its regulatory responsibilities;
  • Analysis of all relevant provisions in connection with the Business and market abuse;
  • Dealing with internal and external controls in connection with trading, LMESelect, DEA, the use of algorithms etc.
  • Consideration of all relevant statutory and regulatory provisions and particularly the rules of the FCA, LME and LMEClear;
  • Considering all European Regulatory developments and guidance promulgated by ESMA;
  • Assisting with all FCA reports and authorisations, together with the SMCR;
  • 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;
  • Assisting in the provision of relevant training to Company employees;
  • Working closely with the Client Services Team to maintain client records, spreadsheets and trading authorisations;
  • Review and preparation of the relevant Company’s Compliance Policies and Procedures;
  • Assisting in the production of all relevant compliance reports.
  • Keeping all A/C opening documentation under careful review in the light of changes to laws, regulation and commercial practice of the Company;
  • Liaison with the Account Executive Desk in sending out A/C opening documentation;
  • Reviewing and analysing all associated documentation and background information when the A/C documentation is returned;
  • Performing all appropriate CDD, AML and sanctions checks;
  • Preparing all Business documentation for both full account and give-up clients;
  • Operating the FIA ‘DOCS’ (formerly ‘EGUS’) system for give-up business.

 

EXPERIENCE REQUIRED:

  • Significant experience of working in a commodities/futures and options environment. 
  • They should have expertise in all, most or many of the areas mentioned above. 
  • Bright and enthusiastic personality with a willingness to learn swiftly and to adapt to all challenges and hurdles placed in their way
  • A good level of computer literacy
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