Senior Compliance Trading and Marketing officer.

Provide regulatory support to the group around conducting trading and marketing activities, where such support is in connection with the laws, regulations and exchange rules of specific application to the products being traded or marketed, except for the responsibility to undertake surveillance and monitoring which will be undertaken by the Legal Compliance & Governance division as part of its broader compliance responsibility. The preparation and review of internal policies & procedures and the implementation of internal processes (including reporting measures) to ensure compliance with Trading & Marketing Regulations.

In this role you will work closely with the business and legal to develop the regulatory framework need locally and internationally.

Responsibilities

• Identify applicable Trading & Marketing Regulations, keep up to date with the impact they have on firms trading and marketing activities and recommend actions to ensure compliance.
• Monitor and react to any new (or changes to) Trading & Marketing Regulations (including changes in interpretation) and recommend changes to the relevant policies, procedures and processes as required, to ensure compliance.
• Monitor any changes to firms trading and marketing activities and advise on the impact Trading & Marketing Regulations have on the same, in support of the above.
• For policies, procedures and processes required for surveillance and monitoring, support LCG to ensure they are consistent with Trading & Marketing Regulations.
• Advise management on the conformity of the internal compliance framework put in place with all relevant Trading & Marketing Regulations, where requested to do so by hierarchy, to ensure compliance.
• Prepare and deliver training materials (including inductions for new starters) related to Trading & Marketing Regulations, to ensure compliance with the same.
• Advise management in relation to investigations and requests of regulators, exchanges and other authorities connected with Trading & Marketing Regulations and manage communications with the same, where requested to do so by hierarchy.
• Engage external consultants and contractors as required for the purpose of the job, closely following the budgeting and actual expenditure involved and ensuring that invoices are regularly issued and all costs are incurred in line with the relevant engagement letters.

Required Skills and Qualifications

• Experience in a Legal or Compliance role in providing advice to the business around both Physical and financial trading products
• Experience of developing and implementing new policies and procedures
• Experience of working within a trading or investment banking Business
• Minimum of a Batchelors degree or International equivalent