Job Information

Our Client is a leading independent execution only broker (regulated and authorised by the FCA) specialising in over-the-counter energy (crude oil, gasoil, fuel, carbon, freight, and coal) financial futures, options, swaps and physical. Role Includes:

� Drafting employee contracts (back office and broker) and settlement agreements.
� Advising on all aspects of grievance/sick/maternity and disciplinary matters.
� Advising on continuing changes in company/commercial law.
� Completing all FCA and NFA controlled functions/approved person applications (via FCA Connect).
� Maintaining and drafting all required FCA/NFA policies/manuals (Including Compliance Manual, AML (Customer ID Programme) Anti Bribery, Best Execution, Business Contingency (BCP), Conflicts of Interest, and Remuneration.
� Drafting Annual Monel Laundering and Compliance Reports
� Advising Senior Management in respect of FCA policy/procedure and any other legal matters.
� Completing and maintaining all �Due Diligence� (KYC- AML/CFT) documentation and procedures.
� Maintaining all staff training for FCA purposes (AML/Anti Bribery and Market Conduct).
� Maintaining Registers including complaints, call monitoring (required FCA recorded lines/chat), gifts/benefits register, etc.
� Initiating and completing an application with NFA/CFTC for Introducing Broker status; thereafter ensuring ongoing compliance with NFA/CFTC rules and regulations (including policy/manual drafting and upkeep)
� Maintaining and drafting all Brokerage Agreements and �Give Up� Agreements (via FIA EGUS).
� Assisting in negotiations in respect of counterparty disputes.
� Managing relationships with third party consultants.
� Working knowledge of MiFID, MiFID 2, EMIR, Dodd Frank, Sarbanes-Oxley etc.