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Compliance Officer (0144)

The Role

Compliance is responsible for providing the Firm with guidance and advice on the rules and regulations that apply to its business operations.  In addition, Compliance is required to undertaking ongoing assessments of its operations to verify compliance with applicable laws and regulations.  This role is responsible for working with the Head of Compliance and the broader team to provide business aligned advice, guidance and interpretation of rules and laws and to provide a robust compliance framework.  The role will report directly into the Head of Compliance.

Responsibilities

  • Provide compliance advice across the business and support functions.
  • Provide compliance advice on a diverse set of products, including Derivatives, FX and Commodities (e.g. metals).
  • Maintain up to date knowledge of regulatory developments affecting the European markets.
  • Build strong internal relationships with the business teams and support functions.
  • Develop strong relationships with relevant exchanges, and regulators.
  • Work with the Head of Compliance and Operational Risk and Assurance Manager to undertake appropriate assurance reviews of the firm’s business operations.
  • Ensure Compliance policies procedures and training are current and delivered to relevant parts of the firm.
  • Provide training to staff on applicable policies and regulations.

Skills & Qualifications

  • 7-10 years’ experience in a similar Compliance role.
  • Detailed knowledge and understanding of brokerage services with product experience covering derivatives, FX and commodities – with a focus on metals.
  • Working knowledge of NFA and CFTC rules (Swap dealer)
  • Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing.
  • Proactively engage across the firm to manage regulatory risks.
  • Ability to identify the key compliance risks in the area subject to testing, to think creatively about how these risks might manifest in practice, and how a test could seek to identify this.
  • Good analytical and numerical skills, able to learn new concepts (for example reviewing trading data, looking for trends and exceptions).
  • Good interpersonal skills and the ability to build relationships with members of the Compliance Department, and business units and control functions subject to testing to facilitate constructive challenge.
  • Broad understanding of the FCA Handbooks and the approach of regulators in EMEA and globally, with particular focus on UK regulators.
  • Attention to detail and proactive. Confidence to use own initiative and apply judgment in an in-house context.
  • Ability to be effective under pressure.
  • Enthusiasm and aspiration to learn and develop.

Who We Are

Established in 1783, ED&F Man is an employee-owned agricultural commodities merchant with 7,000 people in 60 countries and annual revenue in excess of $10bn.  We trade sugar, coffee, molasses, animal feed, grains and pulses. We help our counterparties manage price risk through hedging and provide access to commodity and capital markets through our brokerage business.

Our global financial brokerage blends the heritage and experience of ED&F Man with our capital markets expertise. Our business ethos centres on integrity, trust, client care and astute risk management. We execute orders for institutional investors, hedge fund managers and professional traders across a broad range of asset classes including: metals; ags & softs; energy; foreign exchange; equities; fixed income; and futures & options.

Our services include trade processing, clearing, execution, market making and agency based electronic and voice brokerage. Using our world-class IT infrastructure, we also offer specialised connectivity, hosting, network and infrastructure services to firms seeking optimised low latency derivative trading and clearing solutions. Our strong capital base and balance sheet enable us to offer stability, assurance and strength.

Essential Behaviours

Here at ED&F Man we are guided by our five company values: Respect, Integrity, Meritocracy, Client Focus and Entrepreneurship.

Our values are underpinned by a set of essential behaviours, which form part of our performance management approach.  Delivering on our objectives is very much about ‘what’ we do, but these essential behaviours also provide a guide and measure for ‘how’ we do things.

As part of the annual performance review, all employees are measured either against a set of five Leadership Essentials if you are a people manager or four Performance Essentials if you are an individual contributor.

Leadership
Essentials

1. Drives Innovation
2. Leads People
3. Delivers Results
4. Collaborates
5. Manages Resources

Performance
Essentials

1. Drives Innovation
2. Leads People
3. Delivers Results
4. Collaborates
 

Equal Opportunities Statement

ED&F Man is committed to promoting equal opportunities in employment.  All qualified applicants will receive equal treatment without regard to race, colour, sex, gender, age, religion or belief, ethnic or national origin, marital or civil partner status, physical or mental disability, military or veteran status, sexual orientation, gender reassignment (identity, gender expression), genetic information or any characteristic protected by local law.  


 
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Location
London
3 London Bridge Street, London, United Kingdom, SE1 9SG
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  • Web Division Group:
    Capital Markets
  • Vacancy Type:
    Permanent
  • Location - City:
    London
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