We are looking for a motivated and enthusiastic individual to join the Regulatory Coordination team.
The Regulatory Coordination team is positioned between the traditional 1st line of defence (1LOD) business operational functions and the 2nd line (2LOD) functions such as Regulation and Compliance.
Responsibilities:
Provide ongoing analysis and mapping of LME’s regulatory control frameworks within the Trading division, including compliance with MiFID, the BMR and related regulatory requirements, making suggestions for improvement.
Assist the Regulatory Coordination team in the operation of periodic and ad-hoc tasks, providing regular updates to the team manager and wider Trading division on workflow and priorities.
Be a facilitator of good communication and information flow by coordinating between the 1LOD and 2LOD functions such as Regulation and Compliance, Legal and other relevant stakeholders on all matters of regulatory compliance.
Work with the internal audit and compliance teams through their internal monitoring programmes and assist remediation where required.
Provide constructive challenge of, and proactively suggest enhancements for, the operational arrangements and processes implemented by the Trading services. Assess reviews, analyse gaps, and track successful implementation of enhanced controls and frameworks to ensure continued alignment to the LME’s regulatory objectives.
Assist delivery of the objectives set out within the Trading division, including the launch of new initiatives and trading products, and work to support commercial opportunities and the wider LME Group strategy.
Support oversight arrangements relating to the administration of LME benchmarks, including producing and presenting management information (MI) to governance committees, recording actions and decisions, and proactively identifying gaps and opportunities to streamline.
Develop training material for new and existing staff, particularly those involved in operational and BMR-related activities.
Proactively promote the Regulatory Coordination team so the function is understood and utilised by the business.
Instil a culture of first line ownership in the operation and functioning of controls so they remain relevant and robust, and generally champion a strong culture of regulatory compliance.
Monitor developments in the regulatory environment and assist in identifying and implementing changes in LME processes accordingly; attend relevant conferences/seminars where necessary.
Coordinate and/or support external audits (including the selection of audit providers) in relation to regulatory audits.
Required Knowledge and Level of Experience:
Experience or interest in the financial market regulations and FCA rules and requirements; and/or.
Experience or knowledge of working within a UK regulated entity such as a bank, trading venue or broker.
Compliance or regulatory background.
Knowledge of the BMR and MiFID.
Commodity index or benchmark experience.
Experience of fielding regulatory audits or compliance reviews.
Skills set and Core Competencies Required for Role:
Working closely and collaboratively with team members and stakeholders.
Ability to provide meaningful challenge to the team and the business.
Excellent interpersonal skills and the ability to communicate, both internally and externally and at all levels of seniority.
Proactive approach to problem solving.
Business awareness of issues that could affect regulatory compliance.
Excellent organisation and time management skills with appropriate attention to detail and the ability to prioritise work and manage expectations.
Willingness to learn and stay on top of regulatory developments.
Personal Qualities:
Demonstrate ability to operate and influence others in a complex and diverse environment.
Motivated self-starter.
Determined and results focused.
Excellent communications skills, both verbal and written.
About Us Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company (HKEX Stock Code:388) and one of the world’s leading global exchange groups, offering a range of equity, derivative, commodity, fixed income and other financial markets, products and services, including the London Metals Exchange.
As a superconnector and gateway between East and West, HKEX facilitates the two-way flow of capital, ideas and dialogue between China and the rest of the world, through its pioneering Connect schemes, increasingly diversified product ecosystem and its deep, liquid and international markets.
HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote and progress its markets and the communities it supports for the prosperity of all.
#J-18808-Ljbffr
The Regulatory Coordination team is positioned between the traditional 1st line of defence (1LOD) business operational functions and the 2nd line (2LOD) functions such as Regulation and Compliance.
Responsibilities:
Provide ongoing analysis and mapping of LME’s regulatory control frameworks within the Trading division, including compliance with MiFID, the BMR and related regulatory requirements, making suggestions for improvement.
Assist the Regulatory Coordination team in the operation of periodic and ad-hoc tasks, providing regular updates to the team manager and wider Trading division on workflow and priorities.
Be a facilitator of good communication and information flow by coordinating between the 1LOD and 2LOD functions such as Regulation and Compliance, Legal and other relevant stakeholders on all matters of regulatory compliance.
Work with the internal audit and compliance teams through their internal monitoring programmes and assist remediation where required.
Provide constructive challenge of, and proactively suggest enhancements for, the operational arrangements and processes implemented by the Trading services. Assess reviews, analyse gaps, and track successful implementation of enhanced controls and frameworks to ensure continued alignment to the LME’s regulatory objectives.
Assist delivery of the objectives set out within the Trading division, including the launch of new initiatives and trading products, and work to support commercial opportunities and the wider LME Group strategy.
Support oversight arrangements relating to the administration of LME benchmarks, including producing and presenting management information (MI) to governance committees, recording actions and decisions, and proactively identifying gaps and opportunities to streamline.
Develop training material for new and existing staff, particularly those involved in operational and BMR-related activities.
Proactively promote the Regulatory Coordination team so the function is understood and utilised by the business.
Instil a culture of first line ownership in the operation and functioning of controls so they remain relevant and robust, and generally champion a strong culture of regulatory compliance.
Monitor developments in the regulatory environment and assist in identifying and implementing changes in LME processes accordingly; attend relevant conferences/seminars where necessary.
Coordinate and/or support external audits (including the selection of audit providers) in relation to regulatory audits.
Required Knowledge and Level of Experience:
Experience or interest in the financial market regulations and FCA rules and requirements; and/or.
Experience or knowledge of working within a UK regulated entity such as a bank, trading venue or broker.
Compliance or regulatory background.
Knowledge of the BMR and MiFID.
Commodity index or benchmark experience.
Experience of fielding regulatory audits or compliance reviews.
Skills set and Core Competencies Required for Role:
Working closely and collaboratively with team members and stakeholders.
Ability to provide meaningful challenge to the team and the business.
Excellent interpersonal skills and the ability to communicate, both internally and externally and at all levels of seniority.
Proactive approach to problem solving.
Business awareness of issues that could affect regulatory compliance.
Excellent organisation and time management skills with appropriate attention to detail and the ability to prioritise work and manage expectations.
Willingness to learn and stay on top of regulatory developments.
Personal Qualities:
Demonstrate ability to operate and influence others in a complex and diverse environment.
Motivated self-starter.
Determined and results focused.
Excellent communications skills, both verbal and written.
About Us Hong Kong Exchanges and Clearing Limited (HKEX) is a publicly-traded company (HKEX Stock Code:388) and one of the world’s leading global exchange groups, offering a range of equity, derivative, commodity, fixed income and other financial markets, products and services, including the London Metals Exchange.
As a superconnector and gateway between East and West, HKEX facilitates the two-way flow of capital, ideas and dialogue between China and the rest of the world, through its pioneering Connect schemes, increasingly diversified product ecosystem and its deep, liquid and international markets.
HKEX is a purpose-led organisation which, across its business and through the work of HKEX Foundation, seeks to connect, promote and progress its markets and the communities it supports for the prosperity of all.
#J-18808-Ljbffr
