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THE COMPANY:

Our client is a reputable global financial services house. Rapidly growing from strength to strength they are currently seeking a Central Compliance Analyst to join their London based Offices.

THE RESPONSIBILITIES:

• Develop a strong working knowledge of business activities.
• Build strong working relationships with other Compliance Analysts to ensure effective knowledge sharing and timely resolution of incidents.
• Keep abreast of regulatory developments and good practice, and share information as appropriate to enhance the quality of the compliance programme.
• Ensure appropriate and timely escalation of regulatory and compliance issues to the Compliance Manager where required.
• As requested, undertake the risk based monitoring and/or business communications component of the Compliance Monitoring programme, to include:
• Monitoring for suspicious transactions or strategies.
• Monitoring activity on exchanges to ensure alignment with Exchange rules and expectations
• Monitoring for other regulatory breaches, for example checking that only approved persons are booking trades to regulated entities or that there are no breaches of Part IV permissions
• As requested, undertake other reviews such as AML monitoring, post-implementation reviews, approved persons monitoring, desk reviews etc.
• Provide support to the Compliance Manager to define and implement the scope, processes and procedures.
• Work with the Compliance Manager to implement any changes resulting from the ISTC Global framework or regulatory requests
• Work with the Central ISTC team to support the development and implementation of leading practice in reviews and monitoring for energy trading compliance.
• Support the development and implementation of monitoring and compliance review practices to establish ISTC as a leading energy trading compliance team.
• Advisory - Support the development and implementation of Business Advice practices to establish ISTC as a leading energy trading compliance team.
• Work with the Central ISTC team to support the development and implementation of leading practice in Business Advice for energy trading compliance.
• Daily management and provision of information, together with appropriate, timely and independent advice to the business on areas including transaction advice, new products and business initiatives, conflicts etc
• With guidance, maintain awareness of potential compliance issues or concerns and manage escalations in a timely fashion. Keep the Compliance Manager informed of any issues arising.
• Support delivery of Compliance training to key personnel in the business unit

EXPERIENCE REQUIRED:

• Educated to degree Level
• Experience in a wholesale Financial Services Compliance Department, preferably in Commodities or Derivatives

For further information, please contact Hannah Tabatabai

COMPL 3795

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