Head of Compliance – Office based role

THE COMPANY

Our client is an innovative broker/tech firm, operating across global commodity markets.

THE RESPONSIBILITIES

• Acting as an advisor to the management team and trading desks, balancing commercial needs with regulatory safety
• Training and policy administration (personal dealing, gifts and entertainment etc)
• Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)
• Surveillance, monitoring and investigations including sampling trader chats and reviewing alerts and trades from a market surveillance perspective
• Liaising with exchanges and dealing with queries from them
• Cross team collaboration with trading, risk and ops
• Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)
• Working with Middle Office and the broader team to implement any new regulatory requirements

QUALIFICATIONS

• Must be able to work onsite 5 days a week
• Understanding of algorithms specifically RTS-6
• Thorough knowledge of the exchange traded derivatives markets
• Knowledge of how ICE, CME and LME operate, including their specific exchange rulebooks, position limits, and reporting requirements
• Knowledge of cash-settled contracts and the specific compliance risks associated with these contracts
• A clear understanding of the full trade lifecycle- from execution to clearing and settlement – to identify where compliance breaches typically occur

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