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Compliance Officer - Advisory function

  • Job type: Permanent
  • Location: London
  • Salary: Competitive
  • Job reference: 321893/001_1530786931
  • Sector: Selby Jennings, Compliance
  • Date posted: 05/07/2018

Job Overview/ Purpose:

Provides proactive and efficient compliance advice and oversight to the business.

Implements and advises on adherence to regulations, for example, MiFID, Conduct of Business, Market Abuse and any relevant regulatory change.

Interaction and regular engagement with a diverse range of desks and products

Assist/co-ordinate with and support the Global Compliance function in the development of global policies as required and their implementation within the branch network and develop local procedures.

Your function:

Key Responsibilities and Accountabilities:

* Provides a proactive and efficient compliance advisory and oversight service to the London Branch

* Implements, advises on and monitors adherence to relevant regulations, particularly to the Commodities Trading desk

* Interpretation analysis and implementation of regulatory change with a focus on what impact regulatory change will mean for London branch

* To carry out ad hoc regulatory investigations

* To engage with and provide compliance related transaction advice to the London Branch

* Take an active approach to compliance responsibilities in respect of LIBOR Benchmark

* Interact with and assist the compliance monitoring team. Including issue escalation assisting with developing monitoring program

* Take an active approach to consider ways to help promote internal compliance arrangements and culture. * Assist with the design and maintenance of an effective compliance program

Professional/ Managerial Autonomy:

* Is able to act and decide independently within Compliance policies and regulatory requirements, whilst seeking guidance or input from management as necessary

* Contribute to the design and implementation of certain aspect so the compliance staff training assist with co-ordination of management of the branch interest rate benchmark policies and procedures

Your profile:

Business Knowledge/ Technical Skills:

* Market experience, product knowledge and basic working knowledge of relevant regulation around Commodity Derivatives trading

* Basic knowledge of compliance in particular in a sales and trading environment, market abuse regulations and conduct of business standards

* Able to demonstrate a practical and commercial approach to Compliance Systems

Knowledge/ Skills:

* Microsoft Office products - Word, Excel, PowerPoint, Outlook, SharePoint

Personal Attributes:

* Takes a hands-on approach, is able to couple the ability to offer strategic and change orientated advice with more "day to day" compliance responsibilities

* Strong communication skills - written and oral

* Analytical and detail orientated


* Market & Customer Focus: Customer Focus, Networking, Commercial Orientation

* Vision & Strategy: External Orientation, Execute Strategy, Problem Solving

* Inspire & Develop: Communication, Influencing, Personal Development

* Synergy & Partnership: Partnership, Inclusion, Compassion

* Change & Innovation: Initiative, Innovate, Adaptability, Resilience

* Results & Output Driven: Deliver Results, Organising & Monitoring

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