Manager - Compliance - Commodities Trading Firm

Compliance Manager - (FOR US base commodities trading firm)

1. Compliance Documentation:

a. DEA

i. Maintain DEA index

ii. Create DEA transaction calendar + set up alerts

b. Boycott

i. Maintain index and documentation

ii. Review and audit transaction

2. Third Party Due Diligence Onboarding and Maintenance

a. Maintaining calendar for agency renewals (set up alerts)

b. Auditing all current agency files to ensure due diligence requirements (ensure all documentation for agent is up to date)

c. Consultancy Index

d. Brokers and F.F. index

3. Policies Maintenance

a. Audit existing functional policies to ensure compliance

b. Report to me employees who have no signed the acknowledgement forms

c. Create and maintain records for each employee with acknowledgement forms

d. Maintain policies in intranet as needed

i. Ensure all policies in intranet are up to date with all revised polices (ill provide the policies with the updates)

4. Update and Maintain Compliance/Legal training records

a. Report to me employees who have not completed training

b. Update and maintain file for each employee with training records

5. KYCs

a. Create index for KYCs

b. Create files for our counterparties (review KYC documents to ensure compliance due diligence has been completed, report to me if any documentation/information is missing)

c. Liaison between departments (sales, finance, legal) to complete counter party KYCs

6. Updating and maintaining the following indexes:

a. NDA index + calendar

i. Create and Maintain NDA calendar, set up alerts for expiring NDA

b. Lease Agreement index + calendar

i. Create and maintain lease agreement calendar, set up alerts for expiring leases

c. Guaranty Index

d. POA Index

7. Major Projects:

a. Record Retention Policy

b. CSR

i. Major projects

c. Privacy Law