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For Companies At a Glance
- Tasks: Ensure compliance with financial regulations and oversee trading activities in a dynamic environment.
- Company: Engelhart is a leading commodities trading company known for its innovative approach and diverse teams.
- Benefits: Enjoy competitive pay, 25 days holiday, medical benefits, and opportunities for training and development.
- Why this job: Join a collaborative culture that values boldness and proactivity while making an impact in financial markets.
- Qualifications: Significant experience in financial compliance, with knowledge of EMIR, MiFID II, and related regulations.
- Other info: We promote inclusivity and diversity, ensuring everyone feels welcome and valued.
The predicted salary is between 48000 - 72000 ÂŁ per year.
Compliance Manager, EU/UK Financial Markets
London, United Kingdom
About Us
Engelhart was founded in 2013 by BTG Pactual Group as a commodities trading company. Our business model is “asset light” and highly diversified – giving us the ability to adapt effectively and nimbly to changing market conditions. We have assembled successful multidisciplinary teams, leveraging advanced fundamental analysis with deep quantitative and weather research capabilities. Our activities are underpinned by strong risk management practices and by powerful technology and operational excellence. We have exceptional teams with diverse global backgrounds and decades of experience, and are driven by a highly collaborative culture, across products and competencies.
In 2024, Engelhart acquired Trailstone, a global energy trading and technology company. The acquisition provides us with new expertise, analytics and proprietary technology which is being used to provide risk management and optimisation services to help maximise the value of our clients’ renewable power. The acquisition also expanded Engelhart’s capabilities into physical natural gas across North America, a critical fuel to support the energy transition.
Our talented and experienced individuals work together according to its four company values:be bold, be collaborative, be proactive, be your best .
Compliance Manager, EU/UK Financial Markets – London, UK
About the Role
As Compliance Manager for our EU/UK Financial Markets, you will play a critical role in ensuring that our financial market operations adhere to complex regulatory frameworks such as EMIR, MiFID II, FMIA, FINFRAG, ROA, and other similar EU/UK/Swiss rules. You will oversee compliance processes, liaise with regulators, monitor trading activities, and provide advice on regulatory risks and obligations. This position requires a seasoned compliance professional with significant experience navigating regulatory frameworks, implementing effective compliance programs, and building relationships with financial regulators.
This will be a full-time role, owning the following responsibilities :
- Regulatory Oversight
- Ensure compliance with financial regulatory requirements, including EMIR (derivatives reporting), MiFID II (transaction reporting, pre- and post-trade transparency), ROA, FMIA, and FINFRAG.
- Maintain relationships with financial regulators (e.g., AFM, BAFIN, ESMA), exchanges, and trade repositories.
- Monitor and advise on regulatory changes and emerging risks.
- Monitoring and Surveillance
- Oversee monitoring of trades in EU financial markets to identify and escalate suspicious activities such as market abuse or insider trading.
- Ensure adherence to financial market conduct standards, including MiFID II suitability and compliance with pre-/post-trade transparency.
- Review and guide front-office trade strategies, including financial systematic and algorithmic strategies, to ensure compliance with regulatory obligations.
- Oversee thresholds and calculations to support claimed exemptions.
- Regulatory Reporting
- Manage reporting obligations, ensuring timely and accurate submissions for EMIR trade repositories and MiFID II transaction reporting.
- Risk Management and Audits
- Conduct regulatory risk assessments for financial products, ensuring appropriate controls are implemented.
- Prepare for, manage, and lead responses to audits by regulators or internal oversight teams.
- Policy Development
- Draft, review, and update internal policies to align with regulatory changes or internal process enhancements.
- Training and Awareness
- Organize and deliver training sessions targeting traders and teams handling derivatives and financial instruments, focusing on MiFID II, EMIR reporting, and other regulatory obligations.
About You
You are an experienced compliance professional with a deep understanding of financial market regulations across the EU and UK. Analytical and detail-oriented, you thrive in a fast-paced environment and have a proven history of managing complex regulatory challenges. Your ability to interpret regulations and translate them into practical solutions will be key to success in this role. You have worked in senior compliance, regulatory, or similar roles and are comfortable engaging with regulators and collaborating with internal stakeholders, including trading teams and senior management.
The following education, experiences and skills are essential for application:
- Significant professional experience in financial markets compliance, regulatory affairs, or a similar role, with a strong focus on derivatives and financial instruments.
- In-depth knowledge of key regulatory frameworks, including EMIR, MiFID II, ROA, FMIA, FINFRAG, and UK/EU financial market rules.
- Proven ability to interact with regulators such as AFM, BAFIN, or ESMA, and manage regulatory reporting processes (e.g., EMIR trade repositories, MiFID II transaction reporting).
- Hands-on experience in conducting trade surveillance and identifying suspicious market activities (e.g., market abuse or insider trading).
- Strong analytical skills to assess regulatory risks and implement necessary control measures.
- Excellent communication and interpersonal skills, including the ability to provide training and collaborate effectively with Front Office teams.
The following experiences and skills are not essential but highly desirable for this role:
- Legal or compliance certifications (e.g., ICA, ACAMS, or equivalent).
- Experience handling algorithmic trading compliance and threshold exemption calculations.
- Familiarity with Swiss financial regulations or knowledge of FMIA/FINFRAG specifics.
- Demonstrated ability to draft or enhance internal compliance policies in regulated environments.
What we offer
- Competitive compensation and participation in Engelhart’s discretionary bonus plan.
- 25 days of annual holiday entitlement, excluding UK public holidays.
- Robust benefits package such as medical, dental, life insurance, 9% pension contribution, and supplemental benefits partially subsidised by the Company.
- Eligibility to receive external and internal training in accordance with our Training & Development Policy.
We believe in inclusivity and are therefore dedicated to ensuring all employees – across gender identity, race, ethnicity, sexual orientation, religion, life experience, background and more – feel welcome and included in the company. We promote diversity because we believe it is essential to our ability to think holistically.
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This role requires the successful candidate to have in-depth knowledge of key regulatory frameworks, including EMIR, MiFID II, ROA, FMIA, FINFRAG, and UK/EU financial market rules. Can you outline how you meet this essential criteria? *
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Compliance Manager, EU/UK Financial Markets employer: Engelhart
Contact Detail:
Engelhart Recruiting Team
StudySmarter Expert Advice 🤫
We think this is how you could land Compliance Manager, EU/UK Financial Markets
✨Tip Number 1
Familiarise yourself with the specific regulatory frameworks mentioned in the job description, such as EMIR and MiFID II. Understanding these regulations in depth will not only help you during interviews but also demonstrate your commitment to compliance.
✨Tip Number 2
Network with professionals in the compliance field, especially those who have experience with EU/UK financial markets. Attend industry events or webinars to connect with potential colleagues and learn about current trends and challenges in compliance.
✨Tip Number 3
Prepare to discuss real-world scenarios where you've successfully navigated regulatory challenges. Having concrete examples ready will showcase your problem-solving skills and your ability to apply your knowledge practically.
✨Tip Number 4
Research Engelhart's recent activities and their acquisition of Trailstone. Understanding how this impacts their compliance landscape can give you an edge in discussions and show that you're genuinely interested in the company and its operations.
We think you need these skills to ace Compliance Manager, EU/UK Financial Markets
Some tips for your application 🫡
Tailor Your CV: Make sure your CV highlights your experience in financial markets compliance and regulatory affairs. Focus on your knowledge of key frameworks like EMIR and MiFID II, and include specific examples of how you've navigated these regulations.
Craft a Strong Cover Letter: In your cover letter, emphasise your analytical skills and detail-oriented approach. Discuss your experience with trade surveillance and your ability to interact with regulators, showcasing how you align with Engelhart's values of being bold and collaborative.
Highlight Relevant Experience: When answering application questions, clearly outline your professional experience related to derivatives and financial instruments. Provide concrete examples of your past roles and responsibilities that demonstrate your capability in managing regulatory challenges.
Showcase Communication Skills: Since the role involves training and collaboration, mention any previous experiences where you've successfully communicated complex regulatory information to teams or stakeholders. This will illustrate your interpersonal skills and ability to work effectively within a team.
How to prepare for a job interview at Engelhart
✨Know Your Regulations
Familiarise yourself with the key regulatory frameworks mentioned in the job description, such as EMIR and MiFID II. Be prepared to discuss how these regulations impact compliance processes and trading activities.
✨Demonstrate Analytical Skills
Showcase your analytical abilities by discussing past experiences where you identified regulatory risks or suspicious market activities. Use specific examples to illustrate your problem-solving skills in a compliance context.
✨Build Rapport with Regulators
Highlight any previous experience interacting with regulators like AFM or ESMA. Discuss how you maintained relationships and navigated regulatory challenges, as this will demonstrate your ability to engage effectively with external stakeholders.
✨Prepare for Scenario Questions
Anticipate scenario-based questions related to trade surveillance and compliance monitoring. Think about how you would handle situations involving market abuse or insider trading, and be ready to explain your thought process.
