• 18 September 2008
• Reference: JR198594

• Legal and Regulatory Officer

• City of London Excellent Permanent
• Benefits: excellent

My client is a eminent global trading house which specialises in combining skill and knowledge of options trading providing liquidity into the equity and fixed income markets is seeking a legal and regulatory officer to join its London team. Reporting to the Head of Legal and Regulatory responsibilities and duties of the role are as following;

*Reviewing and recommending amendments to a variety of documentation including basic supplier agreements to more complicated documentation such as risk based margin finance agreements, ISDAS etc.
*Maintaining corporate records and filing annual returns for the business
*Assisting with operational regulatory compliance records (e.g. due diligence, completion of regulatory registrations (across all appropriate jurisdictions), regulatory and exchange exam requirements and monitoring and maintenance of Training and Competence)
*Opening new accounts with brokers.
*Financial Promotion reviews
*General legal and regulatory support for any area of the group business.
*Assisting with ad hoc legal and regulatory projects.

Solid legal experience within a financial services environment is essential in order to succeed at this role, and you will demonstrate good understanding of corporate structural documents, as well as the UK and US regulatory environment.

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Keywords related to this job

• Compliance,
• Documentation (ISDA),
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• Commodities Trading House,
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• finance,
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• surrey