Senior Regulatory Affairs Lead - London, United Kingdom - Black Swan Group

Description

We are currently seeking a highly skilled and motivated Commodities Compliance Officer to join a leading physical broker based in London.

This role offers an exciting opportunity to work in a dynamic and fast-paced environment, ensuring compliance with regulations and internal policies across all commodities products.

The successful candidate will play a vital role in maintaining the company's commitment to ethical and compliant business practices.


Responsibilities:
# Develop and implement compliance policies and procedures specifically tailored to the physical commodities brokerage industry.
# Monitor and assess the effectiveness of existing compliance programs, identifying areas for improvement and recommending necessary changes.
# Stay up to date with relevant regulatory requirements and industry best practices related to commodities trading.
# Conduct regular compliance risk assessments and provide recommendations to senior management.
# Collaborate with internal teams, including traders, operations, and legal, to ensure compliance with relevant regulations and policies.
# Provide training and guidance to employees on compliance matters, including regulatory requirements, internal policies, and potential risks.
# Perform compliance reviews and audits to identify potential violations or gaps in compliance processes.
# Investigate and respond to compliance-related incidents, including conducting internal investigations and reporting findings to senior management.
# Keep abreast of market developments and changes in regulations that may impact the commodities brokerage business.
# Build and maintain strong relationships with regulatory bodies and industry associations to stay informed of regulatory changes and participate in industry discussions.


Qualifications and Requirements:
# Previous experience in commodities compliance within a physical brokerage environment is essential.
# In-depth knowledge of regulations governing commodities trading, such as MAR (Market Abuse Regulation), MiFID II (Markets in Financial Instruments Directive II), and EMIR (European Market Infrastructure Regulation).
# Familiarity with physical commodities products, including but not limited to energy, metals, agriculture, and soft commodities.
# Strong understanding of compliance frameworks and risk management principles.
# Effective communication skills, both written and verbal, with the ability to interact confidently and professionally with individuals at all levels of the organization.
# Ability to handle sensitive and confidential information with the utmost discretion and integrity.