Compliance Manager, EU/UK Financial Markets

Engelhart CTP Group; London; On-site; GBP 70,000 - 100,000; Full time

Job summary

A leading company in London is seeking a Compliance Manager to oversee EU/UK financial market regulations. The role demands a seasoned professional proficient in navigating complex regulatory frameworks, ensuring compliance, and liaising with financial regulators. Competitive compensation and a comprehensive benefits package will be offered, along with opportunities for professional development.

Benefits

Competitive compensation and bonus plan

25 days annual holiday entitlement

Robust benefits package including medical and pension contributions

Training and development opportunities

Qualifications

• Significant professional experience in financial markets compliance.
• In-depth knowledge of EMIR, MiFID II, ROA, FMIA, FINFRAG.
• Proven ability to manage regulatory reporting processes.

Responsibilities

• Monitor compliance with financial regulatory requirements.
• Oversee trade surveillance for suspicious activities.
• Manage regulatory reporting obligations.

Skills

Analytical skills

Communication skills

Interpersonal skills

Education

Relevant legal or compliance certification

Job description

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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