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.