Complinet | Recruitment | Jobhttp://www.complinet.com/recruitmentjobs/job/details/id/1153140000 - 50000 Annually + benefits | Location: London | Sector: Compliance & RegulationSecurities & Wholesale BankingInvestment Banking/StockbrokingCommodities/Futures | Published: March 2nd 2010 | <p><strong>THE COMPANY:</strong></p> <p>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.</p> <p><strong> </strong></p> <p><strong>THE RESPONSIBILITIES:</strong></p> <ul> <li>Develop a strong working knowledge of business activities.</li> <li>Build strong working relationships with other Compliance Analysts to ensure effective knowledge sharing and timely resolution of incidents.</li> <li>Keep abreast of regulatory developments and good practice, and share information as appropriate to enhance the quality of the compliance programme.</li> <li>Ensure appropriate and timely escalation of regulatory and compliance issues to the Compliance Manager where required.</li> <li>As requested, undertake the risk based monitoring and/or business communications component of the Compliance Monitoring programme, to include:</li> <li>Monitoring for suspicious transactions or strategies.</li> <li>Monitoring activity on exchanges to ensure alignment with Exchange rules and expectations</li> <li>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</li> <li>As requested, undertake other reviews such as AML monitoring, post-implementation reviews, approved persons monitoring, desk reviews etc.</li> <li>Provide support to the Compliance Manager to define and implement the scope, processes and procedures.</li> <li>Work with the Compliance Manager to implement any changes resulting from the ISTC Global framework or regulatory requests</li> <li>Work with the Central ISTC team to support the development and implementation of leading practice in reviews and monitoring for energy trading compliance.</li> <li>Support the development and implementation of monitoring and compliance review practices to establish ISTC as a leading energy trading compliance team.</li> <li>Advisory - Support the development and implementation of Business Advice practices to establish ISTC as a leading energy trading compliance team.</li> <li>Work with the Central ISTC team to support the development and implementation of leading practice in Business Advice for energy trading compliance.</li> <li>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</li> <li>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.</li> <li>Support delivery of Compliance training to key personnel in the business unit</li> </ul> <p> </p> <p><strong>EXPERIENCE REQUIRED:<br /></strong></p> <ul> <li>Educated to degree Level<strong> </strong></li> <li>Experience in a wholesale Financial Services Compliance Department, preferably in Commodities or Derivatives</li> </ul> <p> </p> <p> </p> <p><strong>For further information, please contact Hannah Tabatabai </strong></p> <p><strong> </strong></p> <p><strong>COMPL 3795 </strong></p> <p> </p> <p> </p>