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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 and Derivatives

For further information, please contact Hannah Tabatabai

COMPL 3796

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