THE COMPANY:
Our client is an innovative Commodities firm, operating across global commodity and energy markets.
THE RESPONSIBILITIES:
- Provide day-to-day compliance advisory support to the business, including Front Office and other trading-related functions.
- Support the team in the delivery and ongoing development of the firm’s compliance framework.
- Undertake trade and communications surveillance, reviewing alerts and escalating potential issues where appropriate.
- Assist with the identification, investigation and resolution of potential market conduct and market abuse concerns.
- Provide compliance input in relation to commodity derivatives trading activities, exchange requirements, and relevant regulatory obligations.
- Support the firm’s compliance monitoring programme, including reviews, testing, and documentation of findings.
- Review and maintain compliance policies, procedures, registers, and associated documentation.
- Support internal investigations, regulatory enquiries, audits, and compliance reviews.
- Assist with compliance training and the communication of regulatory requirements across the business.
- Undertake additional compliance activities as required within a small and dynamic team.
EXPERIENCE REQUIRED:
- Must be able to work onsite in London 5 days per week
- Must have a good understanding of financial markets and derivatives products, specifically Energy derivatives.
- Relevant experience within Compliance Advisory, Surveillance, or a related financial markets function in a trading environment.
- Previous experience in energy or commodity derivatives, particularly within a physical or exchange-traded commodities environment.
- Working knowledge of relevant UK financial markets regulation, including MAR, MiFID II/MiFIR and EMIR.
- A strong understanding of market conduct, market abuse, and trading-related compliance risks.
- Experience interacting with Front Office or other trading-related stakeholders.
- The ability to interpret regulatory / exchange requirements and apply them within a commercial environment.
- Comfortable working in a fast-paced, hands-on environment with a broad and varied workload.
For further information please contact Hannah Tabatabai
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Compliance Consultant -Energy Trading firm (6 month FTC) employer: Compliance Professionals
As a leading private bank in the UK, we pride ourselves on fostering a dynamic and inclusive work culture that prioritises employee development and well-being. Our commitment to compliance excellence not only ensures a rewarding career path for our Financial Crime Compliance Lead but also offers unique opportunities for professional growth through continuous training and mentorship. Join us to be part of a prestigious institution where your expertise in wealth management will be valued and your contributions will make a meaningful impact.
