Our client is an innovative Commodities firm, operating across global commodity and energy markets.
THE RESPONSIBILITIES:
- Acting as an advisor to the management team and trading desks, balancing commercial needs with regulatory safety
- Training and policy administration (personal dealing, gifts and entertainment etc)
- Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)
- Surveillance, monitoring and investigations including sampling trader chats and reviewing alerts and trades from a market surveillance perspective
- Liaising with exchanges and dealing with queries from them
- Cross team collaboration with trading, risk and ops
- Implementing policies and protocols associated with business activities, such as in relation to algorithmic trading, new markets etc (and monitoring ongoing compliance with them)
- Working with Middle Office and the broader team to implement any new regulatory requirements
- Regulator Liaison: Proven experience handling direct inquiries from exchange
- Trade Life Cycle: A clear understanding of the full lifecycle—from execution to clearing and settlement—to identify where compliance breaches typically occur
EXPERIENCE REQUIRED:
- Must be able to work onsite 5 days a week
- Strong financial trading energy experience
- Understanding of algorithms specifically RTS-6
- Thorough knowledge of the exchange traded derivatives markets
- Knowledge of how ICE, CME and LME operate, including their specific exchange rulebooks, position limits, and reporting requirements
- Knowledge of cash-settled contracts and the specific compliance risks associated with these contracts
- A clear understanding of the full trade lifecycle- from execution to clearing and settlement - to identify where compliance breaches typically occur
For further information please contact Hannah Tabatabai
#J-18808-Ljbffr
Head of Compliance – Commodities/Energy trading experience required 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.
