Capesize

17950

Sep-17
0.00 0.00%

Panamax

11175

Sep-17
225.00 2.05%

Iron Ore

76.5

Sep-17
0.85 1.12%

Sing 380

278.25

Oct-17

Coking Coal

208

Sep-17
0.00 0.00%

Nola Urea

212.5

Sep-17
0.00 0.00%

Compliance Officer, London


FIS Published: September 20, 2017
Location
London, United Kingdom
Job Type
Category

Description

FIS is the number one dry bulk freight and commodity futures interdealer broker, named by The Singapore Exchange for the past seven years as top broker for swaps, futures and options in iron ore, dry bulk freight forward agreements (FFAs) and coking coal. FIS is a pioneer and innovator in the commodity derivatives markets with a proven and profitable track record of first mover advantage. Our offices in the US, UK, Dubai, India, Singapore and China provide a 24-hour global network.

FIS is seeking to fill the position of Compliance Officer in our London office.

Key responsibilities:

  • Review and maintain risk matrix and systems to accurately map clients’ profiles to risk categories for ongoing risk monitoring and assessment.
  • Updating, maintaining and enhancing the firm’s compliance monitoring program, policies & procedures and compliance manual as and when necessary.
  • Transaction reporting (MiFID, EMIR, CFTC).
  • Internal surveillance and conduct investigation of compliance issues/alleged breaches.
  • Submit new applications to FCA and NFA and maintain current AP lists.
  • Key liaison with regulators and auditors on regulatory returns, certifications, examinations, applications and notifications, etc…
  • Impact analysis of new business initiatives and driving the development of relevant compliance policies and procedures.
  • Review and approve financial promotions or marketing materials.
  • Horizon scan and analyse potential impact of regulatory trends and developments to ensure the Firm is compliant with any new regulatory changes.
  • Approve KYC checks for new customers, reviewing existing files for accuracy and completeness.
  • Work with the finance function to prepare and approve regulatory returns to the FCA and NFA.
  • Provision of management information to the Board and Risk Committee.
  • Administer compliance training to staff such as AML and anti-bribery / corruption.

You will:

  • Have a minimum 2-3 years’ experience in a similar position within a financial institution.
  • Show initiative, be self-motivated and have a proactive attitude towards working in a light touch, flat management structure.
  • Be approachable and demonstrate a positive, courteous and confident attitude with colleagues and clients.

Educated to a degree level, you may be required undertake relevant UK compliance-based Financial Conduct Authority qualifications.

Please send a CV with covering letter to: jobs@freightinvestor.com.

Freight Investor Services Ltd 80 Cannon Street, London EC4N 6HL Tel: +44 (0) 20 7090 1120
info@freightinvestor.com | www.freightinvestor.com | Twitter: @freightinvestor
Registered in England number 4243444. FIS is regulated by the FCA.

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