Job Details
Compliance Officer Commodities
Sector:
Region :
Location: EC2V
Salary: Salary is negotiable DOE
Job Ref.: CL2203AT
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.