The firm is one of the world’s largest independent commodities traders, with offices around the globe. They provide broking services in respect of energy and commodity derivatives.
Head of compliance for a high growth global energy commodity derivatives and futures business division, leading businesses across the EMEA and the Far East
* Lead a compliance team.
* Lead relationship with US and Dubai based third party compliance advisers.
* Lead on ICE exchange and NFA compliance audits.
* Lead compliance monitoring plan, policies and procedures.
* Trade surveillance – design, implementation, calibration. We have recently adopted SteelEye.
* To provide business specific and commercially minded advice to the Boards of the firm on all regulatory matters.
* To support both Chief legal officer and the holder of the SMF16/17 function in respect of compliance and AML matters.
* To be responsible for all compliance matters relating to the day to day operation and running of the business including FCA, DFSA and NFA filings, compliance and monitoring, transaction reporting, and maintaining relevant internal registers.
* Prepare and present compliance reports at board meetings.
* Provide compliance training.
* Take ownership of and continuously review/tailor/improve policies,