COMPANY DESCRIPTION:

The Company provides a broad, flexible suite of financial and advisory services tailored to institutional clients, strategic counterparties and major industry participants. Operating on a business-to-business basis, Baron Point draws on its in-house expertise and relationships with leading financiers, traders, major market participants and money-center banks to structure customized solutions and transactions for complex real-world situations. Through this approach, the Company helps stakeholders navigate market challenges, identify opportunities and achieve successful outcomes.

JOB DESCRIPTION:

We are seeking a Senior Global Compliance Officer to provide proactive, timely, cost-effective and commercially practical compliance advice, support and oversight to the Company. The role is responsible for helping the business achieve its objectives while protecting the Company’s interests, reputation and regulatory standing across multiple jurisdictions. The Senior Global Compliance Officer will identify, assess and mitigate compliance risks; advise on appropriate alternative approaches and strategies; and ensure that business activity is conducted in accordance with applicable laws, regulations, internal policies and industry best practices. This includes oversight of requirements and expectations relevant to regulators such as the U.S. Commodity Futures Trading Commission, the UK Financial Conduct Authority and other regulatory authorities across the United States, Europe and Asia, including situations where regulatory remits and geographic jurisdictions overlap. The role will apply a consistent global compliance framework that accommodates local regulatory requirements and evolving supervisory expectations. The Senior Global Compliance Officer will also develop, maintain and present policies and procedures for approval, adoption and integration by the Company and its Board of Directors. Given the increasingly complex regulatory environment, the role will be expected to strengthen both preventative and detective controls, including market-abuse risk assessments, surveillance coverage, alert calibration, escalation protocols, documentation, training and ongoing monitoring of business patterns and conduct. The successful candidate will be accountable for identifying, researching, escalating and resolving actual or potential compliance issues, ensuring that risks are addressed promptly and appropriately and that the Company maintains a culture of integrity, accountability and regulatory discipline.

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