COMPANY DESCRIPTION:

The Company provides a broad and flexible scope of commodity trading, financial and advisory services suited for the institutional community and majors.  Acting in a business-to-business capacity through in-house talent, relationships with preeminent traders, financiers, the majors, and money center banks, Baron Point structures custom solutions and transactions to address complex real-world circumstances while helping stakeholders to succeed.

JOB DESCRIPTION:

We seek a Senior Global Compliance Officer to provide compliance advice, support and related services to the Company in a proactive, timely, cost-effective and professional manner with a view to furthering business objectives and protecting our company’s interests. Our compliance team seeks to ensure that compliance risks are identified and appropriate alternative approaches and strategies are considered in the conduct of business, at all times consistent with industry best-practices under standards for the United States and United Kingdom authorities (i.e regulatory bodies such as US Commodity Futures Trading Commission and the UK Financial Services Authority). There are other bodies both within US, Europe, and Asia who are also the regulator responsible, and often times overlapping jurisdictions in terms of remit and geographies. Therefore, the Senior Global Compliance Officer will be expected to apply a universal framework that factors this overlapping with the authorities. Additionally, the Senior Global Compliance Officer will define policies and procedures presented for approval and integration by the Company and its Board of Directors. Given that the regulatory landscape has changed in recent years dramatically, and cultural and detective controls of potential and actual market abuses are expected, the Senior Global Compliance Officer will be expected to be preventative and actively monitoring of business patterns and behaviors as required to ensure no intended or unintended abusive activities occur under the Senior Global Compliance Officer watch. Therefore, you will be responsible for identifying, researching, and resolving potential compliance risks ensuring appropriate escalation if necessary.

JOB REQUIREMENTS:

• MUST HAVE legal authorization to travel to the US and EU on an extend period of time basis
• MUST HAVE experience with the Basel III: Global regulatory standards on bank capital and know your customer rules, Dodd-Frank (US), EMIR (EU), MIFID II (EU), and Canadian Derivatives Reform.
• Bachelor’s degree required (Business or equivalent preferred); Master’s degree preferred
• Minimum of six (6) years of experience in an internal/external Compliance, Regulatory, Risk Control, Audit or SOX testing/controls or risk environment is required (including documenting business Compliance processes, identifying risks, designing and implementing mitigating controls, and developing remediation plans when there are Compliance related control failures)
• Ideally some trading desk or related securities and physical commodities industry experience; specialized structured products (Commodities and Securities Linked Products) and experience in both the Listed, OTC and physical markets is a major plus
• Experience implementing change, project management, cross-functional and cross-border/cultural business teams
• Strong commitment to compliance with strong relationship and influencing skills and the ability to address issues with senior leaders with diverse backgrounds
• Ability to deliver on the accountabilities and responsibilities and drive action through influence in the midst of ambiguity and uncertainty; sound judgment in sensitive areas and on difficult issues
• Able to motivate others and operate under pressure
• Ability to work in a decentralized environment and self motivated
• Written, verbal and presentation communication skills
• Evidence of strong relationship and influencing skills with senior leaders and people at all levels and in a range of cultures
• Capacity to recognize and handle ever-changing mosaic of problems, adjusting priorities and allocation resources over tight deadlines
• Excellent grasp of compliance as well as business issues, industry developments and legal, social and political trends that may have an impact on Trading
• The ability to find creative solutions to compliance issues, but within acceptable legal and risk frameworks
• An ability to understand and take account of business drivers and needs
• The ability to clearly explain regulatory risks, develop sound mitigation strategies and find acceptable commercial solutions
• The ability to contribute at leadership team level and ensure that regulatory and compliance issues are taken into consideration and in compliance
• Fluent in English, both spoken and written
• Proficient with MS Excel, PowerPoint, MS Access or comparable applications is preferred

COMPENSATION:

Competitive