Assisting the Compliance team in carrying out its Compliance Monitoring Plan and regulatory strategy;
Updating and writing new policies for BOCI Global Commodities UK Limited;
Preparation of Management Information reports for Beijing and Hong Kong offices;
Assist with Financial Crime tasks such as completion of Transaction Monitoring monthly reports, sanctions screening and ongoing monitoring via Dow Jones system;
Assistance with trade (SMARTS) and communications surveillance (Bloomberg);
Staff dealing, conflicts of Interest reviews, attestations;
Ensuring staff adhere to FCA Handbook and LME and ICE Rule Books, by advising and communicating with staff;
Assisting the team with various risk assessments, in Risk and Compliance;
Working with supervisor(s) on Business Continuity Planning, Operational Risk Management and Liquidity Risk Monitoring.