Compliance Officer – Commodities/Energy

Compliance Professionals; Greater London; Sur place; GBP 70 000 - 100 000; Plein temps

Résumé du poste

Compliance Professionals seeks an experienced compliance professional for a commodities trading environment in London. The role focuses on reviewing surveillance alerts, advising traders, and ensuring regulatory adherence across UK/EU rules, with emphasis on MAR, MiFID II/MiFIR, EMIR and REMIT.

Responsibilities include incident investigation, handling exchange inquiries, and maintaining documented evidence and timely responses.

Qualifications

• Experience with UK/EU commodity trading rules (MAR, MiFID II/MiFIR, EMIR, REMIT) and exchange rulebooks.
• Hands-on trade surveillance: review alerts, document decisions, escalate as needed.
• Ability to advise traders during trading hours with practical guidance and conditions.

Responsabilités

• Review trade surveillance alerts daily with documented reasons or escalation.
• Answer exchange inquiries and advise traders directly.
• Provide practical guidance during trading hours on actions, restrictions, and escalation needs.
• Investigate market abuse and keep evidence and reasons for each finding.
• Respond to exchange and regulatory inquiries with clear, evidentiary explanations ahead of deadlines.
• Monitor reviews, inquiries, regulatory requests and ensure ownership and timely completion.
• Review and update trading-related policies and procedures to reflect actual trading and applicable rules.
• Tune surveillance alerts to match desk trading patterns and close gaps.

Connaissances

Regulatory knowledge

Trade surveillance

Advising traders

Risk assessment

Description du poste

THE COMPANY:

Our client is an innovative Commodities firm, operating across global commodity and energy markets.

THE RESPONSIBILITIES:

• Review trade surveillance alerts every day, closing each one with documented reasons or escalating it to senior compliance colleagues.
• Answering exchange enquiries and advising traders directly
• Give traders clear, practical advice during trading hours on what they can do, any conditions or restrictions, and when a matter needs escalating.
• Investigate potential market abuse and keeping the evidence and recording the reasons for each finding.
• Respond to exchange and regulatory enquiries, rebuilding trading activity from order, trade and communication records and preparing clear, evidenced explanations ahead of deadlines.
• Keep track of monitoring reviews, enquiries, regulatory requests and reporting obligations, making sure each has an owner and is completed on time.
• Review trading-related policies and procedures against how we actually trade and the rules that apply to us, and update them where needed.
• Tune surveillance alert settings to fit how each desk trades, reducing low-value alerts and closing any gaps in coverage.
• Deliver market conduct training to new joiners and graduates, and an annual refresher for all trading staff.
• Keep clear logs and written procedures so that a colleague can step in smoothly when you are away.
• Produce an annual review of surveillance results, enquiries, advice themes and policy changes, with a prioritised plan for improvement.

EXPERIENCE REQUIRED:

• Compliance experience within an energy or commodity trading environment.
• Good working knowledge of the UK and EU rules that apply to commodity derivatives trading, including MAR, MiFID II and MiFIR, EMIR, REMIT and exchange rulebooks, and the ability to apply them to a firm's particular activities and exchange memberships.
• Hands-on trade surveillance experience: reviewing alerts, spotting suspicious patterns, testing explanations and making evidenced decisions to close or elevate.
• A good understanding of energy and commodity products, trading venues and order books, and of how physical and derivatives markets affect each other.
• Has experience answering exchange enquiries and advising traders directly

For further information please contact Hannah Tabatabai