Head of Compliance – Office based role

THE COMPANY

Our client is an innovative broker/tech firm, operating across global commodity markets.

THE RESPONSIBILITIES

• Acting as an advisor to the management team and trading desks, balancing commercial needs with regulatory safety


• Training and policy administration (personal dealing, gifts and entertainment etc)


• Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)


• Surveillance, monitoring and investigations including sampling trader chats and reviewing alerts and trades from a market surveillance perspective


• Liaising with exchanges and dealing with queries from them


• Cross team collaboration with trading, risk and ops


• Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new m...