Junior Compliance Officer
vor 2 Wochen
Responsibilities:
- Provide support in performing annual risk assessments with the trading departments including assisting with interviews, completion of assessment templates, assembly of quantitative data and presentation back to key stakeholders.
- Assist in delivery of training and development of training materials, policies, guidelines and procedures.
- Develop capabilities to deliver advice to front-office personnel across:
- Exchange rules (primarily for trading occurring on LME)
- Price Reporting Agency engagement
- Compliant Communications
- Market Abuse
- Insider Dealing
- Support the documentation of the Market Conduct Programme including notes of key meetings with stakeholders, documentation of commercial rationales and other file notes.
- Coordinate with the Market Conduct Compliance Officer to provide responses to external regulators and exchanges.
- Liaise with the surveillance team to investigate and resolve trade and communications surveillance alerts.
- Support ongoing implementation projects.
Essential qualifications and experience required for the Role.
- A minimum of 2-3 years of experience. Experience in a trading or commodities environment would be preferable.
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