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Compliance Analyst
Barclay Simpson, EA Licence No: 11S4540
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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