VP, Risk and Compliance (London Office)

Responsibilities

• Assisting the Compliance team in carrying out its Compliance Monitoring Plan and regulatory strategy;
• Updating and writing new policies for BOCI Global Commodities UK Limited;
• Preparation of Management Information reports for Beijing and Hong Kong offices;
• Assist with Financial Crime tasks such as completion of Transaction Monitoring monthly reports, sanctions screening and ongoing monitoring via Dow Jones system;
• Assistance with trade (SMARTS) and communications surveillance (Bloomberg);
• Staff dealing, conflicts of Interest reviews, attestations;
• Ensuring staff adhere to FCA Handbook and LME and ICE Rule Books, by advising and communicating with staff;
• Assisting the team with various risk assessments, in Risk and Compliance;
• Working with supervisor(s) on Business Continuity Planning, Operational Risk Management and Liquidity Risk Monitoring.

Skills & Experience

• Educated to degree or appropriate professional qualification level;
• Minimum of 5 years’ experience working in a Compliance role;
• Solid understanding of FCA Handbook, Financial Crime regulations and a broad range of wholesale banking products;
• Strong analytical skills to use data/risk metrics for risk and compliance monitoring;
• Excellent communication and interpersonal skills;
• Strong work ethic and ability to cover some Risk Management work in addition to Compliance responsibilities.

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