James Curphey
Compliance Manager - Trade Monitoring and Surveillance Emea @Shell
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WORK HISTORY
Compliance Manager - Trade Monitoring and Surveillance Emea @Shell
London, GB
Manager of a team of skilled technical compliance analysts. Develop, execute & maintain a multi-regional programme to detect, mitigate & treat compliance risks. Primarily in context of Market Abuse Regulations, REMIT, Mifid2, Money Laundering Directive4 & Dodd-Frank legislations. Regulatory Horizon scans, project/change management & business partnering adding real value & assurance. Key stakeholder in internal & external regulatory audits including FCA & RDS board level audit committee presentations. Responses to regulatory enquiry and investigation. Training material development & delivery including face to face & e-learning sessions. Regular attendance at Sanctions, Anti-Bribery & Corruption & Anti-Trust training. Specialist in physical & derivative energy transactions in Europe, Middle East & Asia. Oil & Oil Products, Gas, Power & CO2 trading. Building strong internal & external relationships with key stakeholders, determining business requirements, assessing risk & implementing compliance monitoring solutions, training & tools. Professional interpretation of regulations, trading patterns, behavioural & culture analysis, communication surveillance & gap analysis. Informing the business of changes in EU & local regulations, market guidance, & best practice relating to market abuse. Governance, Management Information & data interpretation process manager. Experienced former broker and trader. Focussed on coaching, developing, mentoring and facilitating the growth of team members. Graduated in ICA diploma in Governance, Risk and Compliance and Senior Leader of Teams programme at Shell International. Past Experienced derivatives broker & arbitrage trader, trend analyst & fundamental research. Study of behaviour patterns in market price action. Managed trade risk against market exposure. A customer focussed relationship manager, running a broking and execution team. Managed book risk & relationships with international institutional and private investors.
EDUCATION
University of Nottingham
Geography BA Hons, socio economics
Alliance Manchester Business School
ICA Diploma in Governance, Risk and Compliance
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