At a Glance
- Tasks: Advise management on compliance, implement policies, and monitor trading activities.
- Company: Leading firm in commodities and energy trading with a focus on regulatory safety.
- Benefits: Competitive salary, onsite work environment, and opportunities for professional growth.
- Other info: Collaborative culture with a focus on innovation and compliance excellence.
- Why this job: Join a dynamic team ensuring compliance in a fast-paced trading environment.
- Qualifications: Strong experience in financial trading and thorough knowledge of exchange rules.
The predicted salary is between 80000 - 100000 £ per year.
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.
- 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.
We think you need these skills to ace Head of Compliance – Commodities/Energy trading experience required in London
Regulatory Compliance
Policy Administration
Market Surveillance
Trade Monitoring
Cross-Team Collaboration
Regulator Liaison
Understanding of Algorithms (RTS-6)
