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Head of Compliance Surveillance (0213)

The Role

Trade and communications surveillance provide the firm with systems, processes and controls to ensure compliance with the Market Abuse Regulation, and other relevant regulations and standards to prevention and mitigation of abuse risk.  This role is responsible for working with the Head of Compliance to develop a robust trade and communications surveillance infrastructure, working with the firm’s various departments and front office staff to review and improve controls, ensuring compliance with regulatory obligations.

Responsibilities

  • Lead the design and delivery of a robust trade and communications surveillance framework.
  • Review trade surveillance solutions and systems.
  • Ensure processes and procedures are communicated.
  • Take ownership of and develop the remediation of the surveillance infrastructure.
  • Coordinate the internal investigation and escalation of potential issues and documenting appropriate remedial actions and regulatory notifications.
  • Assist in regulatory or exchange enquiries and investigations
  • Manage the assessment of evidence to support escalation or closure of investigations.
  • Support the completion of Suspicious Transaction Order Reporting (STOR) filings
  • Provision of periodic management information and performance and risk metrics
  • Oversee, develop and guide team members.

Skills & Qualifications

  • Previous experience of developing, documenting and implementing trade and communications surveillance programmes.
  • Previous experience of communicating with exchanges and regulators.
  • Excellent presentation skills - ability to communicate clearly and concisely both verbally and in writing to support functions, front office staff and management teams.
  • Previous experience of derivative, commodity and FX brokerage businesses, whether though Compliance experience or working within the business or other control functions.
  • Previous experience of using trade and communications surveillance systems
  • Ability to identify the key market abuse risks in the area subject to testing and to think creatively about how these risks might manifest in practice.
  • 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 employees in the business units and control functions.
  • Maintain a detailed working knowledge of key EU /UK regulatory rules, regulations and standards as well as a broad awareness of specific conduct and market abuse regulations
  • Attention to detail and proactive.
  • Confidence to use own initiative and apply judgment in an in-house context.
  • Ability to manage delivery and prioritise work streams
  • Ability to be effective under pressure.
  • Good presentation and report writing skills
  • Enthusiasm and aspiration to learn and develop

Who We Are

Established in 1783, ED&F Man is an employee-owned agricultural commodities merchant with 6,000 people in 60 countries and annual revenue in excess of $8bn.  We trade sugar, coffee, molasses, animal feed 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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